Author: Compliance Solutions Strategies

According to the Investment Firm of the Future, a report published by CFA Institute earlier this year, 24% of the organization’s…

Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules, filing requirements, and upgrades to surveillance technologies. As a result, many market participants, including both buy- and sell-side firms, need to re-assess how they currently monitor the trading desk, and whether new policies and procedures are needed to effectively manage reputational risk and avoid costly fines.

Most firms have addressed cybersecurity in one aspect or another, thinking a few access controls and anti-virus programs are the…