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Checklist
A Risk-Based Checklist for Surveillance Excellence
Streamline risk management and meet audit demands.
Does your firm’s surveillance program address key compliance risks, including market abuse and sanctions violations?
Download this checklist to:
- Assess the adequacy of your policies
- Ensure robust oversight of employee trading, eComms, and third-party relationships
- Leverage automation and technology to enhance surveillance and reduce false positives
- Gain actionable insights to evaluate and improve firm-wide policies, monitoring practices, and surveillance systems
Fill out the form to learn more.