Identifying and Overcoming Gaps in Compliance Surveillance

Effective surveillance plays a crucial role for compliance in maintaining regulatory compliance and safeguarding the firm from the effects of illicit employee behavior that leads to market abuse and market manipulation. Regulators fully expect that firms to have effective controls in place to monitor employee behavior and transactions for non-compliance, whether inadvertent or intentional.

In today’s environment where regulators like the U.S. Securities and Exchange Commission (SEC), the U.K. Financial Conduct Authority (FCA), and others emphasize proactive enforcement, effective surveillance helps firms stay on top of regulatory priorities and be aware of potential issues across the company—and ahead of compliance risk.

Surveilling employee behavior for compliance with regulations and company policy across areas including personal trading, access to MNPI and insider information and communications activity monitors for lapses, conflicts of interest and potential bad behavior, allowing firms to identify and address potential concerns before the regulators do.

Does your firm have sufficient controls in place to maintain compliance, detect misconduct, and protect itself from regulatory and reputational risks?

Join MCO and Ankur Mehta from ComplyLens for the on-demand webinar Maximizing Control Effectiveness: Identifying and Overcoming Gaps in Compliance Surveillance. 

This practical and interactive session will provide insight on maximizing the effectiveness of your surveillance controls, including:

• Importance of surveillance risk assessments
• Common issues during surveillance system implementations and how to overcome them
• Implementing effective governance and data assurance controls
• Alert effectiveness checks and calibration
• Emerging trends and practical industry use cases

We’ll also have plenty of time for questions, so please let us know if you have any when you register.

More Resources

Learn about MCO's Employee Compliance solution

Learn about MCO's Transaction Surveillance solution

Learn about MCO's Compliance Oversight solution

Watch the on-demand webinar:  Strategies for Gifts and Entertainment Compliance

Watch the on-demand webinar: eComms Compliance: Stay Ahead of the Game

Download the research survey: 2024 Surveillance Benchmarking Survey and Report

Download the white paper: Communications Compliance - Stay Ahead of the Curve