Trade Surveillance Panel Discussion

FIF has scheduled a panel discussion on trade surveillance for the FIF Compliance and Surveillance Working Group and the FIF Front Office Committee for Thursday December 8 at 2 pm. The panelists will be Mark Davies of S3, Brett MacLeod of Abel Noser and Andrew White of Broadridge. Holly Dito of Pershing will moderate the panel. The panelists will discuss the scope of trade surveillance. Time permitting, the panelists also will discuss T+1 vs. real-time surveillance, use of AI for surveillance, trade surveillance based on business activity (retail; institutional; market making; exchange; ATS; clearing firm), standardization vs. customization, reviewing and updating parameters, checking and challenging your trade surveillance program, and trade surveillance for foreign markets. Time permitting, the panel also will focus on market manipulation, with a discussion of the potential red flags in securities trading identified by FINRA in Regulatory Notice 19-18 (Anti-Money Laundering (AML) Program FINRA Provides Guidance to Firms Regarding Suspicious Activity Monitoring and Reporting Obligations). Any topics not covered on this call will be covered during a subsequent call. If you are not a member of the Compliance and Surveillance Working Group or the Front Office Committee and you would like to join this call, please contact fifinfo@fif.com, and we will include you on the call.