Please enjoy this free trial of our subscription content service, for a limited time only.
Rumors addressed included the SEC being active in London and a crackdown on illegal marketing.
This was arguably one of the most insightful sessions at the ‘must attend’ event for surveillance experts on the sellside and buyside.
Reporting from Global Relay’s quarterly asset manager compliance roundtable – December 2023.
In this session, Lindsay Moilanen, Assistant Regional Director at the SEC, outlined the Commission’s current priorities.
This in-depth session at the foremost compliance surveillance conference featured Ian Blair from UB, Rob Hammond from BNP Paribas, and John Lydon from TP ICAP.
Changing market conditions and regulatory challenges discussed by expert panel.
Panel of experts examined changing market conditions and regulatory challenges.
Panel of experts examined changing market conditions and regulatory challenges.