1 / 1

The Compliance Investigation | Communications and Market Data Analysis

Compliance officers must consider not only transaction-related communications but also the trade and market data contemporaneous with a suspicious event. To get more details for a effective Compliance Investigation vise this infographic or visit - https://bit.ly/2JxxqHf

shielfc
Download Presentation

The Compliance Investigation | Communications and Market Data Analysis

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. THE EFFECTIVE COMPLIANCE INVESTIGATION Rigorous Review Requires a Full Picture Effectivecomplianceinvestigationsrequireacompleteviewofall relevantfacts, andthereisanynumberofwaysunsavorytraderscan manipulatefinancialmarketsusingmoderntechnology. Asaresult, in today’smarkets, effectivecommunicationscomplianceenforcement systemscollectandanalyzenotonlyelectroniccommunicationsbutalso relevanttransactionandmarketdataonahistoricalorintradaybasis. Improvements in Compliance Data Boost Enforcement Effectiveness RegulatedfinancialfirmsrunsophisticatedCommunicationscompliance monitoringsystemsthatflageventsthatcouldamounttoviolationsof applicableregulations. Inmostcircumstances, whenacomplianceofficer receivesaredflagfromthemonitoringsoftware, hisorherfirstresponse istoreviewallofthecommunicationsthetradershadregardingthe suspicioustransaction. Trade Data Proves Crucial in Effective Compliance Investigations Whereasmarketordersareplacedandexecutednear-instantaneously, a traderplacesalimitorderwhenheorshewantstobuyorsellasecurity atapriceotherthanthecurrentmarketprice. Thelimitorderisrecorded inanorderbook. Exceptincertainfuturesmarkets, thisorderbook – whichissometimesalsoreferredtoasMarketDepthorL2MarketData – functionsasafirst-in, first-outledger. Ordersareplacedatthelimitprice setbythetrader, andthequantityshownistheaggregatedquantityofall thelimitordersinthequeueatthisprice. Compliancetechnologyhasgrown incrediblysophisticated. Once machinelearningsoftwarecollects sufficientdata, artificialintelligence solutionscandetectmarket manipulationstoanincredible degreeofsensitivity. Thissaves complianceofficersfromthe mundaneworkofanalyzing thousandsofpossibledatapoints andselectwhatisrelevantfora compliance investigations. SCHEDULE A DEMO WITH A MEMBER OF OUR TEAM. For more details about Communications Compliance visit us. VI SI TUSATHTTPS: / / WWW. SHI ELDFC. COM/

More Related