What to know about trading venue management and surveillance
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Ernst & Young LLP
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What to know about trading venue management and surveillance
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EY - With the proliferation of electronic and algorithmic trading, there has been a significant increase in the number of trading venues utilized by firms to trade across asset classes. Firms are facing heightened regulatory expectations (SEC and Financial Industry Regulatory Authority (FINRA)) on their broader market misconduct control environment with a keen interest in the venue management framework including onboarding, offboarding, impact assessments and associated business as usual (BAU) processes.
Authored by: Robert Mara
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