Cross and principal trade best practices

The most embarrassing evidence examiners uncovered was firms that prohibited such trades yet were unaware that “these trades had occurred.” The risk alert encourages best practices, such as testing to monitor whether your traders are complying with your own P&Ps as well as the rules around cross and principal trades

To read this article, you need to sign in.


You should only be asked to sign in once. Not the case? Click here


New to Regulatory Compliance Watch?

Register now to read this article and more for free.