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 * Home
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 * Home
 * Financial Crime Summit New York (in-person)
   * Agenda
   * Speakers
 * Culture & Conduct (virtual)
 * Video & Voice Surveillance (virtual)
   * Speakers
   * Agenda
 * Financial Crime: KYC (virtual)
 * Trade Surveillance (virtual)
 * XLoD Global New York (in-person)
 * 1st Line Risk & Control (virtual)
 * Financial Crime: Fraud (virtual)
 * ESG Risk (virtual)
 * Financial Crime Summit London (in-person)
   * Agenda 2022
   * Speakers 2022
   * Interviews
 * XLoD Global London (in-person)
   * Agenda 2022
   * Interviews 2022
   * Speakers 2022
   * Sponsors 2022
 * Leaders' Networks
   * Surveillance Leaders' Network
   * XLoD Leaders' Network
 * Knowledge Hub
 * Surveillance Blog
 * Sponsorship Opportunities
 * About
 * Contact
 * Subscribe Now


TRADE SURVEILLANCE - DEEP DIVE



Book your Early Bird ticket

With a growing range of financial products and trading venues becoming
available, trading is becoming more intricate, increasing the volume of
transactions that need to be surveilled by financial institutions under
regulations. This combined with global institutions’ need to remain compliant
with regional regulatory expectations ensures now more than ever, trade
surveillance teams need to understand what best practice looks like.

Furthermore, there now arises questions as to whether legacy systems are up to
the challenge of surveilling Fixed Income products. The challenge arises owing
to the difficulty in price discovery in the asset class, questioning whether the
susceptibility of cross market manipulation in Fixed Income markets is the
biggest risk of market abuse facing surveillance programmes? 

The new hybrid model of working, multiple communication channels and the growing
use of trading technologies, requires a far more sophisticated level of real
time, or appropriate timed, investigations of suspicious trading activity. The
growing need to integrate surveillance systems and understand how financial
institutions should best leverage innovation is now of fundamental importance
for surveillance programmes.

Read the post event report from our 2022 event

WHAT CAN YOU EXPECT

This virtual Deep Dive will examine the evolving regulatory risk landscape for
trade surveillance, the solutions on offer to deliver optimal surveillance
functions, best practices to mitigate reputational risk and market abuse and the
challenges trade surveillance teams are currently facing.

Taking place over two days each with three hours of debates and interactive
roundtable discussions for financial institution delegates you will have the
opportunity to:

 * Join a series of carefully managed interactive pre-booked discussions between
   financial institutions, moderated by 1LoD
 * Hear live keynote addresses and debates incorporating delegate Q&A sessions
 * Use an inter-delegate messaging system available before, during and after the
   event
 * Catch up on missed content, on-demand, for seven days after the event is
   finished
 * Access to content and presentations from leading technology vendors and
   consultants

Book your Early Bird ticket

How will this benefit me and my organisation?

 * Hear and interact with your peers globally
 * Discover ways your institution can improve its approach to trade surveillance
 * Benchmark your trade surveillance capabilities against your peers
 * Hear from senior practitioners who are buying and building trade surveillance
   platforms
 * Identify ways to increase efficiency within your institution
 * Document your continued professional development by gaining CPD/CPE credits
 * Expand your professional network


OUR NEXT TRADE SURVEILLANCE DEEP DIVE IS IN

84 Days
21 Hours
19 Mins

 

Book your Early Bird ticket


WHO SHOULD ATTEND?

Managing Directors, Directors, and Head of Functions from Banks and Asset
Managers working within:

 * Surveillance
 * 1st Line Control
 * COO function
 * Compliance Technology 
 * Audit

 * Compliance
 * Operational Risk
 * Culture and Conduct
 * CRO & SMCR Function

 

HOW THE DEEP DIVES WORK


NETWORKING

 * A series of interactive pre-booked roundtable discussions between financial
   institutions, moderated by 1LoD
 * An inter-delegate messaging system


ROUNDTABLES

Private, off the record roundtables are moderated by 1LoD, and attended by
delegates from financial institutions who have booked their place in advance.
They take place on Zoom. Delegates are sent discussion topics, and an overall
structure of the debate in advance to assist the flow of the discussion.


WHAT HAVE OTHERS SAID ABOUT ATTENDING OUR VIRTUAL EVENTS?  

1LoD offers great events the keep you informed about how the landscape is
changing as well as understanding where you firm is verses your peers.  Andrew
Brodie, Global Head of Front Office Conduct Surveillance, BNP Paribas

A very worthwhile event to discuss current topics faced by the industry with
colleagues and technology vendors. I would recommend this to anyone in
Compliance and come prepared to share in a confidential setting. Ian Woodward,
Project Manager, Compliance, Société Générale

The conference gave a great opportunity to discuss current practices and
challenges. An outstanding line up of speakers, very professional organisation
of the event, and online support for the attendees. Would definitely be
interested to attend 1LoD events in the future. Irina Klenova, Former Investment
Sales Supervision Officer, Citigroup

 * 1


DO YOU HAVE A PRODUCT OR SERVICE THAT COULD BENEFIT THE AUDIENCE?


JOIN THE LEADING FIRMS THAT ARE BENEFITING FROM THE SPONSORSHIP AND MARKETING
OPPORTUNITIES AVAILABLE.

Contact Andrew Lennon now for details:
andrew.lennon@1lod.com 
+44 (0)7914 215 980


 

SUBSCRIBE HERE

Tel: +44 (0) 207112 4930
30 Churchill Pl, Canary Wharf, 
London E14 5RE






 

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