Webinar -- Creating a Security Advantage

Creating a security advantage: preventing rogue traders, market abuse and securities fraud

The latest in an ongoing series of thought leadership roundtables from OpRisk & Compliance, sponsored by Mantas.

Recent events in the global financial system-including the SocGen rogue trading scandal and subsequent similar losses at other firms-have made both regulators and firms focus on potential risks from their own employees' bad practices.

Preventing these kinds of losses is not just about changing the culture of a firm-systems and processes must be in place to monitor activity, demonstrate compliance and catch employees who undertake fraud, market abuse or rogue trading activities.

This new webinar will be an exchange of ideas among top industry executives on how and where to find-and improve-the systems and processes within firms that can prevent those organizations from becoming another "headline casualty".

How can executives create independent risk and compliance initiatives to help firms establish the most secure, preventative environment protecting against rogue traders, trading abuse, fraudulent employee activities, and other risk points?

How do firms implement a robust enterprise-wide risk and compliance system, to enable their financial institutions to succeed in reducing risks and monitoring trades, orders, positions, and behaviors?

 

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