Managing trade and communications surveillance in the new world of work

Yasmine Li
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Yasmine Li: Head of EMEA Surveillance, Global Head of Commodities Surveillance, Macquarie Group, UK

Journal of Financial Compliance, 2022, vol. 6, issue 1, 6-16

Abstract: The COVID-19 pandemic has introduced changes in technology and the working environment which have ultimately changed the risk profile and risk manifestation within financial organisations. Alongside the ever-increasing conduct-focused regulations globally, surveillance has never been so important. As a control, surveillance frameworks and programmes must adapt to stay effective and relevant to the changing times. This paper describes the challenges and steps that can be taken to uplift surveillance practices in response to regulatory scrutiny, technology advancements and culture shifts as firms embrace hybrid and remote working set-ups.

Keywords: surveillance; trade reconstructions; hybrid working; market abuse; conduct rules (search for similar items in EconPapers)
JEL-codes: E5 G2 K2 (search for similar items in EconPapers)
Date: 2022
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Persistent link: https://EconPapers.repec.org/RePEc:aza:jfc000:y:2022:v:6:i:1:p:6-16

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