Trade Compliance Video Series – Watch the First 2 Videos Now!

Portfolio Managers and Traders frequently complain about the Automated Trading Compliance System. The top three complaints that we hear at IMP include:

  • “We get tons of false violations.  We have to close things out constantly just to get a trade through.”
  • “The messages from the compliance system make no sense, and have nothing to do with my portfolios.”
  • “My model shows me as within the limit, but the compliance system states otherwise. Why?”

For Compliance teams, it’s as equally frustrating. When the rules were written, the PMs signed off on all of the rules for their funds.  Why isn’t this working?    

This video series looks at real trade compliance experiences from the PM/Trader’s desk, and gives compliance teams a glimpse into why some rules aren’t working. It also discusses options for compliance teams to implement changes that will support a unified and seamless trading workflow.


Next week, we will continue this series with our next video, The Mismatched Rule. Please check back regularly, and visit our Multimedia Library to access videos, white papers, podcasts, and more!