Surveillance Program Gap Analysis Checklist
Is your surveillance program truly risk-based?
Regulators around the globe see the increased potential for insider dealing and market abuse from recent market volatility and the extended work from home environment as true risks. They are looking for firms to adjust their surveillance programs accordingly to capture these risks.
ACA’s team of experienced professionals has developed a checklist to help firms determine whether their surveillance program has gaps and where it may need improvements. This list is not intended to be exhaustive; ACA’s team can help analyze the results and determine the best path forward if enhancements are needed.
Download our Surveillance Program Gap Analysis Checklist to learn more.
About our trade surveillance solutions
Our trade surveillance solutions are designed to help firms manage their firm and employee trading risk in a way that meets regulatory expectations and industry best practices. Our offerings include consulting, managed services, and technology to provide your firm with a holistic solution for developing and executing a comprehensive and truly risk-based surveillance program.
For questions or to discuss how ACA can help your firm strengthen its surveillance program, increase efficiencies through technology, and ensure your regulatory obligations are met, reach out to your ACA consultant or contact us here.