Step by step guidelines on systems & controls in an automated trading environment

What are the main guidelines on systems & controls in an automated trading environment? At the World Exchange Congress last year, Simon Bates, Director, Bryok  shared ESMA Guidelines on systems & controls in an automated trading environment for trading platforms, investment firms and competent authorities.

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Here’s a glimpse of what you will find in the guidelines:

Guideline 1: Electronic Trading Systems must have…

Guideline 2: Users of Electronic Trading Systems must have…

Guideline 3: Trading platforms must have rules and procedures covering…

Guideline 4: Firms engaging in automated trading must have…

Guideline 5: Trading platforms must have…

Guideline 6: Firms engaging in automated trading must have…

Guideline 7: Trading platforms must…

Guideline 8: Firms providing DMA/SA must…

Download detailed guidelines for FREE here >

If you found this useful, you might also like this post about market surveillance, click here to read the blog post >

Simon Bates was a speaker at our last year’s World Exchange Congress. If you want to find out more about this year’s event, download the online brochure here >