Ensuring Compliance: Surveillance Monitoring and Controls

As the pace of change across the financial services industry continues to accelerate, compliance teams have a regulatory obligation to have proper tools in place to detect and prevent all forms of misconduct. It’s not enough however to just put a surveillance program in place and start reviewing alerts. Firms need to monitor that the surveillance they have in place is fit for purpose, and continually optimized in order to reduce risks. Learn the areas that firms should focus on when it comes to effective surveillance monitoring and controls, and how SURVEIL-X is built to help ensure your firm remains in compliance.