Detect & Prevent Non-compliant Activities
We can provide your firm with the complete compliance coverage required by today’s financial markets regulations - an environment which requires a view across assets, instruments, communications, markets, and regulatory jurisdictions.
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SURVEIL-X Holistic Surveillance » |
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Solutions to Enable Regulatory Trade Compliance
While the FINRA "preparedness reviews" will commence starting November, our compliance regulation experts felt that the implication of the statement was likely misunderstood, read here why.
The Monetary Authority of Singapore (MAS) released a consultation paper highlighting new requirements to protect against market abuse and a trade surveillance best practice guide jointly published with the Singapore Exchange (SGX).
When surveillance detection models don’t keep pace with change, your risk increases of falling out of compliance and unnecessarily driving up compliance costs.
More Blogs »
Webinar
Your Holistic Trade Surveillance Strategy
with panelist from PwC
Executive Breakfast
26 Nov. 2019 | Sydney
More Events & On-Demand Webinars »
Demo Webinar Series
Now available on-demand, a series of demo webinars showing how you can effectively improve your compliance assurance process, reduce costs, and guarantee flawless recording of all your regulated employees and devices
We’re excited to share engaging and relevant content to help make your job easier, and keep you up to date on NICE Actimize and industry news. Subscribe to the quarterly Trade Compliance & Surveillance Newsletter in the NICE Actimize’s email Subscription Center »
