FIF - Financial Information Forum

FIF Webinar on Trade Surveillance

FIF will host a webinar on trade surveillance on Tuesday July 30 at 3 pm ET. Holly Dito of Pershing will moderate the panel. The panelists will be Steve Bonanno of BXS, Ted Karn of The Karn Group, Chris Montagnino of Jordan & Jordan, and Jeremy Vest of S3. Topics for the webinar include: monitoring that the surveillance program is working as designed; configuration of alert thresholds; managing the exception handling process; outsourcing of surveillance and required oversight of vendors; use of AI for surveillance (value and limitations); surveillance for fixed income and other asset classes; surveillance of RIA customers; and SARs reporting obligations. FIF has invited the members of the Compliance and Surveillance Working Group for this webinar.

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