Insight

Trader surveillance

Dealing with the challenges of COVID-19

Paul Fagone

Paul Fagone

Principal, Advisory, FS Regulatory &Compliance Risk, KPMG US

+1 214-213-3560

Covid-19 is causing unprecedented challenges and disruptions to already strained trader surveillance programs. As traders are now dispersed across multiple remote locations, this hampers supervisory and surveillance efforts, particularly the ability to monitor off-grid activity. Data disruptions, predominantly driven by increased trading volumes, are causing a backlog in the surveillance monitoring processes and workflow. These new pressures shine a glaring spotlight on the weaknesses embedded within many surveillance programs even before Covid-19, such as high alert volumes, data disconnects and governance gaps.
 

Trader surveillance
Download this issues brief to learn how KPMG can help relieve the pressure on your surveillance program.