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Surveillance processes
Top Ten Checklist: Optimising Alerts for Surveillance Efficiency
Review Alert Volumes Regularly Recommended Guidance : Consider reviewing the number of alerts generated by surveillance systems (e.g.,...
Balvinder Ruprai
Jul 225 min read
Top Ten Checklist: Communications Optimisation for Surveillance
Monitor All Relevant Communications Channels Recommended Guidance : Consider ensuring surveillance systems cover all relevant...
Balvinder Ruprai
Jul 225 min read
Top-Ten Checklist: Lessons from FCA Fines
Monitor All Trades and Orders Across Asset Classes What Firms Should Consider : Firms are advised to ensure surveillance systems capture...
Balvinder Ruprai
Jul 226 min read
Top-Ten Checklist: Data Optimisation for Surveillance
Capture Every Trade and Order Across All Asset Classes What Firms Should Consider : Ensure your surveillance system logs every trade and...
Balvinder Ruprai
Jul 2110 min read
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