From a trade surveillance perspective, it can be difficult to identify where a firm’s responsibility for monitoring the order flow of direct market access starts and where it ends. Understanding potential liability for your firm is essential to avoiding regulatory scrutiny.

Take a deep dive into spoofing, which covers a broad set of market manipulation techniques that involve entering non-genuine orders (spoof orders) to create a misleading impression of the supply and demand of that asset, why it continues to be a priority for regulators and what that means for algorithmic traders.

Assess best practices for maximizing surveillance efficiency and why firms should regularly evaluate their program to improve surveillance processes.

Propriety Trading Firms can often engage in activities like market making, high frequency trading, and algorithmic trading. They are at the forefront of technology and have unique regulatory challenges.