Trade surveillance in a global context

Lynne Carreiro and Flavia Anderson

Journal of Securities Operations & Custody, 2017, vol. 9, issue 1, 57-61

Abstract: This paper aims to educate the reader about the expectations of regulators in the USA and Europe with regard to an investment management firm’s oversight of its trading activities and to provide practical approaches and solutions to meet those expectations.

Keywords: trade surveillance; SEC trade testing; market abuse; FCA trade monitoring; market manipulation; forensic testing (search for similar items in EconPapers)
JEL-codes: E5 G2 K22 (search for similar items in EconPapers)
Date: 2017
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Persistent link: https://EconPapers.repec.org/RePEc:aza:jsoc00:y:2017:v:9:i:1:p:57-61

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