Wireless Devices on Trading Floors - Regulatory Compliance Risks

Free registration required

Executive Summary

This paper identifies the potential regulatory violations and security challenges of firms that fail to provide surveillance of cellular phones and 802.11 wireless devices on trading floors. In addition to outlining relevant regulations and accompanying risks of non-compliance, the paper discusses the benefits of a comprehensive no cellular phone and wireless enforcement plan on the trading floor - in terms of maintaining regulatory compliance and reducing risk.

  • Format: PDF
  • Size: 681.7 KB