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Managing trade and communications surveillance in the new world of work

Author

Listed:
  • Li, Yasmine

    (Head of EMEA Surveillance, Global Head of Commodities Surveillance, Macquarie Group, UK)

Abstract

The COVID-19 pandemic has introduced changes in technology and the working environment which have ultimately changed the risk profile and risk manifestation within financial organisations. Alongside the ever-increasing conduct-focused regulations globally, surveillance has never been so important. As a control, surveillance frameworks and programmes must adapt to stay effective and relevant to the changing times. This paper describes the challenges and steps that can be taken to uplift surveillance practices in response to regulatory scrutiny, technology advancements and culture shifts as firms embrace hybrid and remote working set-ups.

Suggested Citation

  • Li, Yasmine, 2022. "Managing trade and communications surveillance in the new world of work," Journal of Financial Compliance, Henry Stewart Publications, vol. 6(1), pages 6-16, September.
    • Handle: RePEc:aza:jfc000:y:2022:v:6:i:1:p:6-16
    as

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    More about this item

    Keywords

    surveillance; trade reconstructions; hybrid working; market abuse; conduct rules;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K2 - Law and Economics - - Regulation and Business Law

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