“Mind the (regulatory) gap!”: the need for cross-product surveillance

Mind the (regulatory) gap!  Nathalie Gallant, Assistant to the Inspections & Investigations Division of the Québec AMF raises the problem of the main regulatory limitations that occur due to lack of automation in detecting cross-venue and occurrence of cross-product trading anomalies. Moreover, she points out how regulators are at times unable to analyse long periods of trading activities and face too many different formats, which in turn lead to increased market fragmentation.

Download Nathalie’s presentation for FREE here >

In her presentation Nathalie discusses:

-The need to fill-in the (regulatory) gap

-Takes in to consideration the future, while catching up to the present

-Possibility of Improving upon current processes

-Elimination of the manual treatment of data

Download Nathalie’s presentation for FREE here >

Nathalie Gallant has more than 20 years experience in the financial industry and 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 >