Lee Corcoran
Trade Surveillance, Where are we heading?
The growing difficulty in detecting ever more complex illicit trading behaviors continues to increase.
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Latest Articles and Case studies
Admin
Jan 52 min read
WM Sales Practices & Suitability Surveillance
A US based global wealth manager wanted to implement a vendor solution to monitor and provide coverage for sales practice issues to meet its
Admin
Jan 42 min read
Compliance Business Analysis & Program Management Assistance
A global broker-dealer sought support to streamline and strengthen its core compliance functions, which include firm-wide compliance and
Admin
Dec 30, 20232 min read
US Broker-Dealer Trade Surveillance Assessment
A global broker-dealer wanted to understand exactly how their trade surveillance controls were being operated across all US business lines a
Admin
Nov 20, 20234 min read
Vigilant Oversight and Market Protection: Unveiling CFTC's 2023 Enforcement Focus on Digital Assets and Compliance Enforcement
The CFTC published its Enforcement Actions Report for Fiscal Year 2023 on November 7th, 2023. This report provides a comprehensive...
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