RiskTech Forum

New! Take Part in a Global Survey by Chartis - Trade Surveillance

Posted: 11 May 2017  |  Source: Chartis


Trade surveillance has been an increasing area of importance ever since the LIBOR and FX trading scandals struck at the trading activities of banks and investment firms in equities markets, causing billions of dollars in fines.

Surveillance requirements have increasingly expanded in scope to include markets like energy and commodities, under regulations such as REMIT. In addition, regulations such as MIFID II and regulatory bodies such as FINRA are stressing record-keeping for essential books and records across all trading platforms.

Therefore, Chartis has identified trade surveillance as a critical concern for financial institutions, and we would like to invite you to participate in our global survey.

The survey should take approximately 5-10 minutes to complete. You may wish to share this survey with an appropriate colleague or functional area such e.g Information, Security, Technology, Risk, Cyber, Fraud etc. In return for your participation, we will send you a FREE copy of the survey results and access to other selected Chartis content (www.chartis-research.com).

To access the survey, please click here.

The survey will remain open until 6:00 pm (BST) Friday 9th June 2017.