United States

Unauthorized Traders and the Evolution of Trading Controls

Mar 07, 2014
From the Advisory Institute

Unauthorized trader events represent some of the most potent risks to trading institutions, and regulators across the world are focused on the strengths of banks' trading controls.

This article addresses three imperatives for banks:

  • How to improve supervisory control — better supervision through standardization of processes and improved supervision skills
  • How to effectively implement independent trading reviews — with a focus on middle office to implement additional trading controls
  • How to gain a better understanding of trader risks through enhanced Business Intelligence (BI) — holistic monitoring, trader behavioral analytics and dashboards, and trader telemetry

 

Contact KPMG
Atif Zaim
Principal, KPMG Financial Management practice
azaim@kpmg.com

 

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