Trading Surveillance in 2019 and Beyond

RIMES and Aite Group are pleased to present our views on the 2019 trading surveillance needs in the U.S. and Canada. The CFTC, the SEC, IIROC, and other regulatory bodies have advertised advanced analytical capabilities and their expectation for firms to keep pace.

We will answer the following questions: 

• What are the key Regulatory initiatives and capabilities to be aware of?

• What is the competitive advantage to proactive surveillance?

• How do you bridge gaps effectively?

This will be a “state of the trading surveillance union” for financial firms operating in the U.S. and Canada. We offer you this comprehensive briefing to understand where the market is trending and how we can help you manage trading risk appropriately in 2019 and beyond.

Register today to join this complimentary webinar!


Spencer Mindlin
Spencer Mindlin
Capital Markets Industry Analyst
Aite Group
Scott Burke
Scott Burke
SME - Surveillance
April 16, 2019
Tuesday, April 16 at 11:30am EDT/10:30am CDT

Spencer Mindlin is an Aite Group analyst focused on capital markets technology, particularly front-office trading technology, execution and order management systems, market data platforms, exchange-traded funds, and emerging financial technology products.