In financial markets, trade surveillance is the process of monitoring trading activity for suspicious activity. It’s a crucial tool. Here's everything you need to know about navigating trade surveillance.
A financial firm’s regulatory compliance responsibilities differ depending on the services it provides. However, one constant for every Australian Financial Service License (AFSL) holder is the requirement to meet the general obligations under Section 912A(1) of the Corporations Act 2001. […]
Advisers should take a proactive approach to compliance, which can enhance the reputation of their firm and reduce the risk of regulatory enforcement action according to Mintegrity. […]
