Trade Compliance @ Home Resource Center

For organizations with regulated users, continuing to deliver on client expectations and business objectives, while also meeting regulatory compliance obligations is imperative, even in these extraordinary times.
Find here resources to help you and your financial markets compliance teams navigate these challenges.

On-Demand Webinars
  Category Topic  
Buy-Side Trading The Transformation of Buy-Side Market Surveillance
A RegTech Insight webinar on what changes are driving the need for investment into market surveillance in buy-side firms.
Wealth Mangement Compliance under COVID-19: Extending Tools and Techniques to Remote Environments
A PIMFA Learning Webinar.
Holistic Surveillance The Future of Surveillance: Conducting Intelligent Trade Surveillance Investigations
See how you can transform manual processes into intelligent trade surveillance investigations.
Reg BI Must Haves for Complying with Reg BI
Experts from Sadis & Goldberg LLP and NICE Actimize will walk you through what practical "Day 1 Compliance" looks like, and explain how you can add value.
Holistic Surveillance The Future of Surveillance: How to Improve True Risk Detection Accuracy
Learn how a surveillance approach powered by precision detection can help your firm accurately detect market abuse and uncover hidden risks as well.
Holistic Surveillance Managing Conduct Risk and Complying with SM&CR in Today’s Virtual Environments
Ensure compliance with all regulations that govern standards of conduct, in both office and work at home environments.
Trade@Home Ensuring Remote Work Success and Compliance
with Michele Rowan, former VP of Hilton@Home.
Holistic Surveillance Re-Thinking Compliance: New approaches to conduct risk & surveillance in 2020
Learn about the regulatory shifts driving conduct risk, personal liability and accountability and what this means for your framework.
Holistic Surveillance How to Achieve Complete Surveillance Coverage
See how you can ensure complete coverage of all asset classes, communication channels, and languages.
Reg BI Countdown to Reg BI - Is Your Firm Ready?
Listen to experts from NICE Actimize who provide the advice you need to kickstart your Reg BI compliance program into high gear.
Trade@Home Stepping up Surveillance During Unprecedented Times
Listen to experts from NICE Actimize and Greenwich Associates and learn how your firm can quickly apply artificial intelligence and analytics to step up its surveillance during these unprecedented times.
Trade@Home Business Continuity Strategies for Remote Trading
Listen to experts from NICE, IPC, and Cloud9 learn how you can quickly adapt your trading infrastructure to support your remote workforce, in a compliant, secure way.
Trade@Home Ensuring Trade Compliance Continuity in Uncertain Times
Round Table discussion on the regulatory implications of the COVID-19 crisis, how other leading firms are addressing this unique situation, and share best practices to assist with your business continuity planning.
Reg BI Reg BI Countdown: Strategies to Ensure Compliance
NICE Actimize and Bates Group discuss new tools, technology, and process changes to help your firm comply with Regulation Best Interest
Holistic Surveillance How to Make the Transformation to Holistic Surveillance
Are you Holistic? There has never been a better time to make the transformation, watch this webinar and learn how


More On-Demand Webinars in the Resource Center »