Asset managers, hedge funds, insurance firms, and other buy-side firms globally are becoming more active in their approach to market surveillance, as regulatory pressure to up their game mounts.
Buy-side firms are now building out their surveillance infrastructure as they seek to respond to the requirements posed by Dodd-Frank, MiFID II and the Market Abuse Directive/Regulation (MAD/MAR).
Unlike larger sell-side firms, whose complexity created challenges for those seeking to implement a holistic approach to market surveillance, many investment management firms are essentially ‘green field sites’, with little or no existing surveillance infrastructure and simpler organisational structures.
This, combined with the broad acceptance of cloud and SaaS technology delivery models, has made it more straightforward for buy-side firms to put in place state-of-the-art surveillance platforms that meet their needs in the face of more rigorous regulatory scrutiny.
Listen to this webinar to learn:
What changes are driving the need for investment into market surveillance in buy-side firms
What buy-side firms are doing now to respond and address these challenges
What lessons the buy-side can learn from the experience from the sell-side on implementing market surveillance practices
Technologies and platforms that can help you deliver
Guidance and approaches to establishing a holistic market surveillance infrastructure.