White Paper Insights

Financial institutions today depend on market surveillance systems and internal trade controls to guard against different forms of disruptive behavior. But in the digital era, do businesses need separate solutions to address what is effectively the same risk?

There is a common thread to all disruptive market activity: conduct. As regulators take a more holistic approach to unearthing bad behavior, compliance officers need to be aware that risks and responsibilities are converging across all lines of defense – from the front office to the back. 

How have changes to the regulatory regime and an increase in volume and volatility changed the landscape for risk and compliance? Do institutions need to maintain distinctions between market surveillance and trade controls?

This white paper examines how regulators approach market disruption in the digital era, and how institutions are responding. Discover how institutions are breaking down boundaries in trade compliance, and what it means for operational efficiency. 

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