Compliance Specialists
Specialized expertise delivering proven results across European financial regulations.
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Monitors trading, investment activities, and market abuse to protect clients and your reputation.
Role & Mission
Ensures your investment and trading activities are ethical, compliant, and transparent.
Regulatory Focus
MiFID II, PRIIPs, Market Abuse Regulation, UCITS
Core Capabilities
Trade and market abuse surveillance
Best execution and suitability monitoring
Investment product governance
Communication monitoring
Regulatory reporting
Technical Features:
Trade Surveillance Engine (primary owner)
Suitability Assessment System
Automated product governance checks
Why Choose James?
He maintains your reputation and client trust by proactively preventing conduct breaches.