Context for Compliance: The Big (Bad) Behavior Picture

May 22, 2017
by VXfintech

Category: Market Activity

Analyzing all the trading data out there is difficult, especially for regulatory purposes. Compliance officers have to take the big picture into account when examining data for bad behavior in the markets.

Jim Austin, the CEO of Vertex Analytics, Inc., announced that it was National Bring Your Daughters and Sons to Work Day during his FinTech Exchange Conference presentation, and put some children to work on stage to demonstrate the evolution from pit to screen trading and the importance of compliance officers.