Strategic Challenges to Implementing Pre-trade Compliance Checking

OPEN PLATFORM

Rules and regulations do not suffice to ensure the safety of the financial markets for the average financial investor. Of real importance is the efficiency with which the rules and client restrictions are actually enforced, that is, "compliance checked."

Any failure to comply with the above should generate "breaches" (indications of nonconformity). If left undiagnosed, unattended or unmanaged, they are, like the outbreak of a fever, likely to grow worse and lead to severe and perhaps irrever

To continue reading...

You need to sign in to use this feature. If you don’t have a WatersTechnology account, please register for a trial.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an indvidual account here: