We are co-hosting this webinar with IMP Consulting and NSCP. Balancing the business needs of PMs and traders, in addition to dealing with the required risk parameters of accounts and trading regulations, presents a difficult task for compliance professionals today. Our panel of experts will discuss:
- Trade monitoring from the PM/Trading perspective
- Trade monitoring from the Compliance perspective
- Overcoming trade order management system challenges
- Addressing pre and post trade compliance challenges
- Compliance system challenges and best practices to overcome them
Speakers include Amy Lynch, President (FrontLine Compliance), Jane Stabile, President (IMP Consulting), Renee Esfandiary, Assistant Director, IA/IC (SEC, Office of Compliance Inspections and Examinations/OCIE)
This 60 minute webinar takes place at 2:00 pm EST, Tuesday, June 7th. Register here.