The billion-dollar data reckoning question: how can your trade surveillance team avoid the next nine-figure fine?

Eventus inFocus report

For financial institutions today, trade surveillance has evolved beyond just meeting regulatory checklists – it’s a fundamental test of data integrity that demands a re-engineering of entire data management and governance frameworks. With regulators levying existential fines for incomplete or flawed data, every transaction, venue and product must be accounted for with precision.

How will this relentless focus on data reshape the roles of surveillance teams, the expectations on vendors and the strategies of compliance functions? And, as technology advances, can firms keep pace with the escalating regulatory demands – or risk being left behind?

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The Emir Refit Playbook

The upcoming Emir Refit regulation, set to enter the European Union’s statute books in
the first half of 2024, is different in substance to the regulations preceding it, although
the implications of complying with it are similar: firms will need to understand the
required adjustments to their current reporting workflows and underlying technology to
allow them to manage their trade/transaction reporting efficiently and transparently in
the new dispensation.

The Emir Refit Playbook

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