Navigating Trade and Communications Surveillance Challenges

The amount of trade-related data available to advisers continues to grow, as does the number of available communications channels. The growing diversity and volume of trade and communications data is making surveillance even more challenging, and at the same time, the SEC has increasingly higher expectations for how advisers should be monitoring trading and communications. A recent ACA Group (ACA) program explored the growing challenges around trade and communications surveillance; regulatory expectations; and the availability of technological solutions, including holistic solutions that integrate trade and communications data to fine-tune surveillance. The program featured Suzan Rose, senior advisor to the Alternative Investment Management Association, and Marc Salter, director of business development at ACA. This article explores their insights. See “Preparing For and Facilitating the Digitization, Automation and Optimization of Compliance Programs” (Jan. 20, 2022); and “How to Avoid Five Common Duty to Supervise Traps: Conduct Proper Trade and Electronic Communications Surveillance (Part Two of Three)” (Sep. 13, 2018).

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