Compliance professionals face a huge challenge in selecting a suitable system for market abuse surveillance. Regulators are policing their markets with an unprecedented zeal and issuing the severest of sanctions to any firms that engage in market abuse.
Showing all posts by Rex Gooch
A COMPLIANT CENTRIC MIDDLE OFFICE – IS IT BETTER RISK MANAGEMENT OR JUST RISKY BUSINESS?
By Rex Gooch – Head of Product Management, Protegent, SunGard’s Trading Business Without a doubt, regulatory reform is atop everyone’s minds. You simply cannot skim financial services news headlines without reading about a new regulatory order or rule – whether it’s the Volker Rule or new Dodd-Frank bill… regulators are essentially laying a “smack-down” on [...]
