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TRADING SURVEILLANCE ROADMAP

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Maryam Hidayatallah CPFA,MIPA,MA,CICA
Maryam Hidayatallah CPFA,MIPA,MA,CICA

This document outlines a trading surveillance roadmap that covers governance, compliance, risk management, and regulatory requirements for trading activities. It includes concepts like portfolio management, trade execution, wash trading prevention, derivatives handling, network oversight, transparency reporting, and tools for monitoring risk tolerance and conduct issues across infrastructure platforms.

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TRADING SURVEILLANCE ROADMAP ENTERPRISE WISE GOVERNANCE CAPTIVE REPOSITORY PORTFOLIO LIFECYCLE SEGMENTATION DARK POOL LIQUIDITY PROFILE TRADING WINDOW WASH TRADES COMPLIANCE SUITE CONFIGURATION COLLATERAL MANAGEMENT CCP DERIVATIVES BROKER / DEALER CROSS NETWORK COMPLIANCE REGULATORY PARAMETERS TRANSPARENCY REGIME TRADE HALTS & RESUMPTIONS LIABILITY PROTECTION MECHANISM COMMODITIES TRADING & RISK MANAGEMENT WATCH LIST ASSET POOL RESTRUCTURING CONDUCT RISK BAROMETER INFRASTRUCTURE ARCHITECTURE FRAGMENTATION RISK TOLERANCE RISK TRANSFORMATION PLATFORM ©PurpleShutterbug

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TRADING SURVEILLANCE ROADMAP

  • 1. TRADING SURVEILLANCE ROADMAP ENTERPRISE WISE GOVERNANCE CAPTIVE REPOSITORY PORTFOLIO LIFECYCLE SEGMENTATION DARK POOL LIQUIDITY PROFILE TRADING WINDOW WASH TRADES COMPLIANCE SUITE CONFIGURATION COLLATERAL MANAGEMENT CCP DERIVATIVES BROKER / DEALER CROSS NETWORK COMPLIANCE REGULATORY PARAMETERS TRANSPARENCY REGIME TRADE HALTS & RESUMPTIONS LIABILITY PROTECTION MECHANISM COMMODITIES TRADING & RISK MANAGEMENT WATCH LIST ASSET POOL RESTRUCTURING CONDUCT RISK BAROMETER INFRASTRUCTURE ARCHITECTURE FRAGMENTATION RISK TOLERANCE RISK TRANSFORMATION PLATFORM ©PurpleShutterbug