When it comes to regulations in the financial services industry, two truths are emerging: regulations are changing and the threat of reputational risk is growing. Responding isn’t an easy task for investment banks. That’s because, as we learned at the latest Accenture roundtable—Beyond Trade Surveillance—three key challenges stand in their way:

  • Compliance. Most banks’ systems weren’t designed for cross-product surveillance.
  • Risk management. Banks struggle with controlling and mitigating rogue trading risks and market abuse, which results in reputational risk.
  • Governance. Many banks lack the appropriate management, oversight and control framework needed.

So, what can banks do to prepare their capabilities around trade surveillance? Watch this video to hear industry leaders talk about the pressing issues and the next steps for investment banks.

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