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Distributed Compliance in Today’s Institutional Trading Ecosystem
As the first of three virtual roundtable discussions that Cloud9 Technologies and EY will be hosting in 2021, this discussion will hone in on the important factors involved in the compliance process as firms remain dispersed under ongoing remote working parameters. Moderated by Grainne McNamara, Principal at Ernst & Young, the discussion will explore voice data implications, how the sector has shifted in the last 12 months, and what panelists foresee as the important factors that will drive efficiency moving forward.
● The shifting approach to compliance in what has become a more virtual environment comprised of a distributed workforce
● Dynamics of voice trading and data capture from a compliance perspective
● The growing importance of establishing a robust community of partners
● Differences in the way asset managers, banks and brokers need to approach the distributed compliance process
● Key developments that will drive an efficient compliance process in an ongoing virtual landscape

Apr 8, 2021 10:00 AM in Eastern Time (US and Canada)

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