Compliance & Conversation – Eyes on surveillance: from trading to communications, why is the spotlight on surveillance?
Global Relay sits down with Head of Global Wholesale Market Surveillance at Barclays, Steve Livermore, and Group Head of Market Conduct Risk at UBS, Ian Blair, to cover the trending topics in surveillance.
A Guide to the FINRA 3110 Rule
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On Demand: Regulatory Wrestling – The Compliant Culture Smackdown
Watch Global Relay's Regulatory Wrestling: The Compliant Culture Smackdown on demand.
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