Compliance and Surveillance - Overview

The FIF Compliance and Surveillance Working Group provides a forum for discussion of compliance and surveillance issues. FIF has hosted webinars for this Working Group on trade surveillance, best execution, trading risk controls, Reg SCI, AML and sanctions and other compliance and surveillance topics.

© 2025 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm