Surveillance – specifically trader surveillance – in financial services institutions remains an area of focus for Compliance professionals in 2023. Generally comprising a combination of trade and communications (voice and...
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Surveillance – specifically trader surveillance – in financial services institutions remains an area of focus for Compliance professionals in 2023. Generally comprising a combination of trade and communications (voice and...
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In 2019, EU financial markets regulatory authorities imposed fines and other sanctions on a number of firms and institutions that failed to provide sufficient evidence of their ability to implement effective and efficient market abuse risk management measures.