Here's a series of articles about the different aspects of compliance and surveillance. You can read or download them as PDF's. I hope you find them useful.

• Enron revisited: Why the tone at the top is crucial to adequate Risk Management and Compliance
• Will Compliance replace Risk Management
• All power gas and CO2 traders within scope MiFID 2
• Are regulators capable of separating legitimate from manipulative REMIT and MAR behavior
• Don't mix up legal with compliance