How compliance teams can face the 'surveillance conundrum'

Keeping up with changing regulation

Red Deer's Alistair Downes

Red Deer's Alistair Downes

Every compliance officer lives with the knowledge that something can always get through the net.

Despite advancing techniques used to capture, process and analyse trading, no surveillance process will ever be perfect, so the challenge is to build a sound and demonstrable process that can withstand scrutiny from investors, colleagues and regulators alike. As scrutiny from investors and regulators increases, compliance teams are left pondering "how do we know our surveillance process is good enough?" Then, as regulation and the firm's trading change over time, the question becomes "how do we keep our surveillance processes good enough?" Accepting the axiom that no process is per...

To continue reading this article...

Join Investment Week

  • Unlimited access to real-time news, analysis and opinion from the investment industry, including the Sustainable Hub covering fund news from the ESG space
  • Get ahead of regulatory and technological changes affecting fund management
  • Important and breaking news stories selected by the editors delivered straight to your inbox each day
  • Weekly members-only newsletter with exclusive opinion pieces from leading industry experts
  • Be the first to hear about our extensive events schedule and awards programmes

Join now


Already an Investment Week


More on Regulation

The main risk warning rules come into force on 1 December 2022, with the remainder landing on 1 February 2023.

FCA warns alternative investment firms of increasing scrutiny

New risk warning rules due in December

clock 10 August 2022 • 2 min read
Janine Hofer-Wittwer CFA, SIX

MiFID II meets ESG and EU regulation

Tight time frame

Janine Hofer-Wittwer
clock 09 August 2022 • 3 min read
Roger Clarke, CEO, IPSX

Market deregulation is key to reinforcing the UK's position in the financial world

Austin Review

Roger Clarke
clock 05 August 2022 • 3 min read