GRIP has been attending a blizzard of roundtables and industry conferences (such as FINRA Annual and SIFMA C&L) in the last six weeks and here is a cut of what was learned from the most senior compliance professionals operating in lead surveillance roles at some of the largest global banks
Surveillance trends, regulator supervision, and the role of AI at wholesale banks and brokers
A synopsis of views and advice on current trends, regulatory supervision, and some practical solutions to the latest challenges.
ACER, AI, ASIC, Audit, Chatbot, CIRO, Compliance, Data, DFSA, Economic Crime and Corporate Transparency Act 2023, Examinations, FCA, FINRA, Industry, Market abuse, MNPI, Netherlands, Off-channel communications, Ofgem, Recordkeeping, Regulation, REMIT II, Risk assessments, STORs, Surveillance, Swaps, UK, US Content, US Federal Reserve