Expanding Your Compliance Program Through Trade Surveillance
Coffee & Regs - En podkast av CSS (Compliance Solutions Strategies)
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In this episode, CSS’s former CCOs Allison Fraser and Matt Calabro sit down to discuss trade surveillance and how CCOs can mitigate the risk factors through the trade lifecycle – from pre-trade to trade execution and post-trade. They’ll also dive into how compliance together with operations and third parties can build out a robust and automated trade surveillance program.