Contributor: John Doran

The type of trading behavior that can be categorized as manipulative or disruptive is generally not prescriptive in nature. This will likely continue despite requests for clarity across market participants. Regulatory agencies are becoming much more aggressive in mitigating activity that can undermine confidence in the markets, placing additional responsibility on today’s compliance teams. As a result, new expectations for proactive trade surveillance are gaining increased attention, especially as companies also seek to eliminate breaches of internal controls and policies.... read more