Trade Compliance Video Series - See The Cause of Hundreds of Violations

Welcome to another edition of IMP’s Video Series: Trade Compliance from the Portfolio Manager’s Perspective.
 
In our previous video, we looked at a compliance rule that resulted in unintended restrictions on a trade. This caused multiple false positive violations that our Portfolio Manager had to continuously close out, and subjected the firm to missing the true violations amongst the noise.

This week, we’ll look at how one word caused hundreds of daily violations for a very frustrated PM, and walk through the simple fix that cut the risk of increased SEC scrutiny.

 
 

For more information on how your compliance team can update your trade OMS compliance rule library, contact Michael Toomey or visit www.impconsults.com/CLEAR.

IMP Consulting is excited to announce that CLEAR™ has made the shortlist of nominees for Best Compliance Solution as part of the 7th Annual FTF News Technology Innovation Awards.

Click on the link below and scroll down to #6 to vote for IMP.

We value your support and appreciate your vote!

 

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