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NFA
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Venue and data completeness in the spotlight at GR Bank and broker roundtable
Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.
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XLoD event in NYC: Managing risk, surveillance across the three lines of defense
Discussions of enterprise risk management, surveillance technology, and market abuse feature in the first of two reports.
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Global Relay compliance roundtable addresses outdated lexicons
Lawyers gathered for our latest roundtable discussion on the major pain points for firms and compliance professionals.