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Trade surveillance in a global context
Journal of Securities Operations & Custody,
9
(1),
57-61
(2017)
Abstract
This paper aims to educate the reader about the expectations of regulators in the USA and Europe with regard to an investment management firm’s oversight of its trading activities and to provide practical approaches and solutions to meet those expectations.
Keywords: trade surveillance; SEC trade testing; market abuse; FCA trade monitoring; market manipulation; forensic testing
The full article is available to subscribers to the journal.
Author's Biography
Lynne Carreiro is Managing Director at ACA Compliance Group. Lynne joined ACA in 2005 and is currently the head of ACA’s SEC consulting practice in London. She provides a wide variety of regulatory and compliance consulting services to clients, with a focus on private funds and discretionary asset managers. Lynne also specialises in assisting advisers with international regulatory issues. Lynne began her regulatory career in 2000 as a Securities Compliance Examiner with the Boston District Office of the Securities and Exchange Commission, where she led examinations of investment companies, investment advisers, hedge funds, fund administrators, transfer agents and variable insurance product providers. She graduated from Trinity College in Washington DC in 1996 and Vermont Law School in 2000.
Flavia Anderson is Principal Consultant at ACA Compliance Europe. Flavia joined in September 2011 as an analyst, becoming a Principal Consultant in January 2016. Working within ACA Europe in the London office, Flavia primarily provides ongoing compliance support to a variety of FCA-authorised clients, as well as providing technical advice on a wide range of issues, including the AIFMD and MiFID II. She also maintains ACA Europe’s compliance framework materials, ensuring they reflect European regulatory developments. Prior to joining ACA, Flavia studied at the University of Exeter, where she graduated with a Bachelor of Science degree in mathematics with finance.
