This is the third episode of our podcast series on “Market Conduct, Personal Account Dealing: How to Keep Up Controls and Compliance in a Time of Remote Working.”
In this episode, we look at how USA-based firms are managing changes to market conduct as a result of remote working. We also discuss the role of technology and related software services in assisting firms to better adhere to market conduct and compliance practices, and hopefully builds better controls to support the new needs of today. Rex Gooch, General Manager of Retail Surveillance at FIS and its Protegent Business Unit shares his views.
Related Reading:
Read transcript here
More about the interviewee, Rex Gooch, FIS
More about our sponsor, FIS
Episode 1 “Market Risk & PAD: The Challenges & Value of Maintaining Company Culture”
Episode 2 “Market Conduct & PAD: Regulatory Guidance for Remote Working“
