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ComplianceCasts™

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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.