Insider Trading Surveillance
Navigating evolving regulations is critical for investment firms, especially as regulatory requirements around communications surveillance, recordkeeping, and insider trading continue to expand in 2024. With increasing risks of infractions and fines, buy-side professionals are prioritizing stronger risk controls by leveraging modern technology to enhance analysis and compliance practices.
Unlike market abuse or conduct surveillance, insider trading surveillance presents unique challenges. Trade controls are typically more deterministic, making it easier to identify violations related to position size, margin, or asset class policies. However, insider trading violations require more nuanced detection, given the complexity of systems and the multiple control points traders and compliance managers must monitor.
Join our webinar to explore how BTCA - Bloomberg Transaction Cost Analysis- can streamline your insider dealing monitoring process.
Unlike market abuse or conduct surveillance, insider trading surveillance presents unique challenges. Trade controls are typically more deterministic, making it easier to identify violations related to position size, margin, or asset class policies. However, insider trading violations require more nuanced detection, given the complexity of systems and the multiple control points traders and compliance managers must monitor.
Join our webinar to explore how BTCA - Bloomberg Transaction Cost Analysis- can streamline your insider dealing monitoring process.
Speakers
Zoravar Bakshi
BTCA Product
Bloomberg
Doris Pradieu
BTCA Account Management
Bloomberg