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Rethinking Your Trade Surveillance Approach to Avoid Common Pitfalls

Eventus – A scary thought: you decide to engage a surveillance vendor, implement a set of “off-the-shelf” procedures, calibrate accordingly, and some time later you get an enforcement action for failing to properly monitor trading activity. How could that happen? Perhaps you failed to monitor for particular behaviors, missed a data feed, or your staff was not sufficiently trained. In my experience, the most common cause relates to the application of a one-size-fits all approach to surveillance.

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