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Market Surveillance

Challenges Presented by the Covid-19 Pandemic

Market Surveillance : Challenges Presented by the Covid-19 Pandemic

The COVID-19 pandemic has impacted many existing compliance practices within financial services. Market Surveillance, the practice of monitoring and investigating an organization’s activities for evidence of market abuse, market manipulation, and other trading regulation violations, is seeing some of the more challenging effects to the industry as both the equities markets and communication channels have drastically changed during the pandemic. 

 

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