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Designing your SEF compliance program

part of the FIA Law & Compliance Division webinar series

21 April 2016

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This webinar will identify key SEF rules that market participants should review when designing their compliance program for trading on SEFs and highlight important differences between the rules of various SEFs related to execution protocols and trade practice rules.  The webinar will also address where SEFs can be expected to investigate market activity for compliance with SEF rules and what that means for the development of policies and procedures by market participants.

  • FIA
  • Video
  • Webinars