post-trade-compliance
Post-Trade Compliance
Purpose
Guide the design and implementation of post-trade compliance monitoring and trade surveillance systems. Covers trade surveillance pattern detection, best execution review, allocation fairness analysis, exception-based monitoring workflows, insider trading detection, market manipulation surveillance, and regulatory reporting triggers. Enables building systems that detect compliance violations after execution and satisfy ongoing surveillance obligations.
Layer
11 — Trading Operations (Order Lifecycle & Execution)
Direction
retrospective
When to Use
- Designing or enhancing a trade surveillance program for a broker-dealer or investment adviser
- Building alert logic to detect churning, front-running, cherry-picking, or other prohibited trading patterns
- Implementing post-trade best execution review processes and quarterly committee reporting
- Evaluating allocation fairness across accounts, including pro-rata verification and dispersion analysis
- Designing exception-based monitoring workflows with alert generation, investigation, escalation, and disposition
- Detecting insider trading patterns by correlating trading activity with material non-public information events
- Identifying market manipulation behaviors such as layering, spoofing, wash trading, and marking the close
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