Day 1: Jun 17, 2020
Day 2: Jun 18, 2020
1:30 pm
1:30 pm
Compliance Challenges and Solutions for Market Manipulation
Monitoring trading and advisory services is a core responsibility for compliance officers. Although there are good checks and balances in place, it is imperative to improve monitoring. Bolster your best practices with insights into:
- Combatting insider trading, and suspicious trading practices
- Determining when, and how, certain investor fraud matters occur
- Solutions to effectively monitor advisors, and encourage self-monitoring for non-compliance matters
Build a blueprint for overcoming compliance challenges with respect to market manipulation
