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Trade surveillance in a global context

Author

Listed:
  • Carreiro, Lynne
  • Anderson, Flavia

Abstract

This paper aims to educate the reader about the expectations of regulators in the USA and Europe with regard to an investment management firm’s oversight of its trading activities and to provide practical approaches and solutions to meet those expectations.

Suggested Citation

  • Carreiro, Lynne & Anderson, Flavia, 2017. "Trade surveillance in a global context," Journal of Securities Operations & Custody, Henry Stewart Publications, vol. 9(1), pages 57-61, January.
    • Handle: RePEc:aza:jsoc00:y:2017:v:9:i:1:p:57-61
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    More about this item

    Keywords

    trade surveillance; SEC trade testing; market abuse; FCA trade monitoring; market manipulation; forensic testing;
    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
    • K22 - Law and Economics - - Regulation and Business Law - - - Business and Securities Law

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