While COVID-19 probably won’t bring relief from regulations, it is providing an opportunity for firms to take their compliance operations to the next level.
In this Q&A Roundtable Interview three buy-side experts share their unique perspectives on the state of Holistic Surveillance.
We have introduced an enhancement to our SURVEIL-X Holistic Trade Surveillance solution that provides self-service analytics.
Reg BI, which just recently took effect on June 30, 2020, goes beyond existing suitability regulations to fundamentally alter the investor protection process.
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