White Paper

Establishing Effective Trade Supervision

Exploring the trade supervision requirements hedge funds and asset managers in North America need to comply with and how to establish robust and effective compliance policies and procedures.

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Establishing Effective Trade Supervision - SteelEye


Download our white paper on establishing the effective trade supervision

Key highlights:

  • What you need to know about the SEC's supervisory oversight rules

  • Key questions to ask when establishing and reviewing your compliance policies and procedures

  • Best practices for establishing effective and robust trade supervision

  • How SteelEye can help your organization 


Executive Summary

North American hedge funds and asset managers are seeing an uptick in regulatory pressure, and cost. For years, old technologies, siloed data structures, outsourced supervision, and seldomly updated policies and procedures were overlooked when complying with trade supervision rules.

In all fairness, this was typically sufficient and often passed the test when it came to avoiding regulatory scrutiny from governing bodies such as the Securities and Exchange Commission (SEC). However, the landscape has changed in recent years, evidenced by the fact that SEC fines were at an all-time high in 2022.

Abusive trading practices, such as insider trading, market manipulation, and cherry-picking, "corrode trust in our markets." This is the SEC's view and why the agency took a hard line on these offenses in 2022 and will continue to do so looking forward.

Consequently, firms must determine if they are willing to dedicate the necessary time and resource to improve how they manage their supervisory requirements, or if they will continue to roll the dice and hope they are not next in line to be examined by the regulator.

In this whitepaper, we take a deep look at the trade supervision rules hedge funds and asset managers are subject to. We also look at the key questions these firms need to consider when establishing policies and procedures or reviewing the robustness of their existing setup. Finally, we explore how firms can not only meet their trade supervision requirements but exceed them and set themselves up for future success in the years ahead.

We hope you find this paper on Establishing Effective Trade Supervision useful and insightful.


Have questions about the white paper?

For questions about the white paper, or additional information on how we can help your firm establish effective trade supervision, please contact SteelEye.


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