Market Monitoring: Demonstrating Appropriate Controls within FSA's New Rules
Layering, spoofing and insider dealing -- like many firms who
Join SMARTS surveillance experts from NASDAQ OMX for a
Leveraging Real-Time Risk Management to Combat the Perfect Storm
Summary: Given the advancements in technology, the speed of trading, and the dangerous conditions which the two may create, can firms afford to not comply with regulation?
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Large Trader Reporting: New Dates, New Responsibilities
An interactive discussion to update market participants on changes to SEC Rule 13H-1, their implications and next steps in the relief proces.
Understanding Your Large Trader Reporting Responsibilities
On the heels of the Market Access Rule, another rule has made its way to the forefront., Large Trader Reporting Rule (SEC Rule 13h-1) has implications for both buy- and sell-side firms. Listen to an interactive discussion aimed at helping you better understand 13h-1.
Cross-Market Surveillance is Essential in an Era of Market Fragmentation
Cross-market risk management and surveillance pose serious challenges to surveillance and compliance technology functions inside a broker-dealer. Various regulations have heightened demand for more robust capabilities for market surveillance and risk,. Session discusses
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