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 * Home
 * Financial Crime: KYC (virtual)
   * Agenda
   * Speakers
 * Trade Surveillance (virtual)
   * Agenda
   * Speakers
 * XLoD Global New York (in-person)
   * Agenda
   * Speakers
 * E-Comms Surveillance (virtual)
 * ESG Risk (virtual)
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 * 1st Line Risk & Control (virtual)
 * Financial Crime Summit London (in-person)
   * Speakers
   * Interviews
 * XLoD Global London (in-person)
   * Agenda 2022
   * Interviews 2022
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   * Sponsors 2022
 * Financial Crime: Fraud Risk (virtual)
 * Financial Crime Summit New York (in-person)
   * Agenda 2023
   * Speakers 2023
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   * Surveillance Leaders' Network
   * XLoD Leaders' Network
 * Knowledge Hub
 * Surveillance Blog
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 * About us
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 * Home
 * Financial Crime: KYC (virtual)
   * Agenda
   * Speakers
 * Trade Surveillance (virtual)
   * Agenda
   * Speakers
 * XLoD Global New York (in-person)
   * Agenda
   * Speakers
 * E-Comms Surveillance (virtual)
 * ESG Risk (virtual)
   * Speakers
 * 1st Line Risk & Control (virtual)
 * Financial Crime Summit London (in-person)
   * Speakers
   * Interviews
 * XLoD Global London (in-person)
   * Agenda 2022
   * Interviews 2022
   * Speakers 2022
   * Sponsors 2022
 * Financial Crime: Fraud Risk (virtual)
 * Financial Crime Summit New York (in-person)
   * Agenda 2023
   * Speakers 2023
 * Leaders' Networks
   * Surveillance Leaders' Network
   * XLoD Leaders' Network
 * Knowledge Hub
 * Surveillance Blog
 * Sponsorship Opportunities
 * About us
 * Contact
 * Subscribe Now


TRADE SURVEILLANCE DEEP DIVE AGENDA

Book your ticket

View speakers

CHECK OUT THE FULL AGENDA BELOW.

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 * 25 Apr 2023
 * 26 Apr 2023

13:00
 1. Welcome Address
    Keynote
    5 mins
    
    Speakers
    
    Lucy Snowden, Head of Production - 1LOD

13:05
 1. Keynote Address
    Keynote
    10 mins
    
    Speakers
    
    Dr Alexis Stenfors, Financial Economic & Author of ‘Barometer of Fear: An
    Insider’s Account of Rogue Trading'

13:15
 1. Debate: Detecting Cross-Product Market Abuse
    Debate
    50 mins
     * Can surveillance functions effectively detect cross market abuse without
       consolidating and continuously monitoring trade and order activity across
       all instruments and markets?
     * How can banks improve risk assessments to take cross-product market abuse
       into account?
     * Is liquid fixed-income / rates the right place to start? What about
       complex and/or illiquid asset classes?
     * Should inter-venue trading manipulation be considered an equal risk to
       cross-product manipulation?
     * What options are there for banks to deploy new technology to detect
       cross-product market abuse?
    
    Speakers
    
    Adam Cahill, Managing Director, Global Head of Trade Surveillance - Goldman
    Sachs
    
    Yasmine Li, Head of EMEA Surveillance - Macquarie Group
    
    Dr Alexis Stenfors, Financial Economic & Author of ‘Barometer of Fear: An
    Insider’s Account of Rogue Trading'
    
    Ian Hawkins, Head of Nasdaq Trade Surveillance Product Management - Nasdaq
    
    Simon Brady, Editor - 1LOD

14:05
 1. Break
    10 mins
    

14:15
 1. Roundtable Discussion: Dark Pool Market Abuse
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions
    on specific topics. These sessions must be booked in advance.
 2. Roundtable Discussion: The Benefits of Trader Profiling
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions
    on specific topics. These sessions must be booked in advance.
 3. Roundtable Discussion: Technology: Making Trade Surveillance More Manageable
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions
    on specific topics. These sessions must be booked in advance.

14:55
 1. Break
    10 mins
    

15:05
 1. Debate: Contextual Monitoring – Aligning Market Abuse and Market
    Manipulation Detection
    Debate
    50 mins
     * How much value is there to be gained from aligning transaction monitoring
       and trade surveillance?
     * Is there a regulatory expectation that banks are breaking down siloes to
       identify hidden threats? 
     * Do these alignment initiatives deliver technology budget savings or
       simply the better identification of risk?
     * Are traditional trade surveillance systems sophisticated enough to
       encompass this additional responsibility?
     * How can this integration become a reality?  Is the data, the systems and
       processes or the organisational construct all key?
     * Does the convergence of trade surveillance and financial crime present an
       opportunity for banks to take a more risk-based approach?
    
    Speakers
    
    Ian Blair, Managing Director, Global Head of Surveillance - Credit Suisse
    
    Kai Schrimpf, Independent Contributor & Former Global Head of Transaction
    Monitoring
    
    Dr Roger Noon, Senior Moderator - 1LoD

15:55
 1. Closing Summary
    Keynote
    5 mins
    
    Speakers
    
    Lucy Snowden, Head of Production - 1LOD

13:00
 1. Welcome Address
    Keynote
    5 mins
    
    Speakers
    
    Lucy Snowden, Head of Production - 1LOD

13:05
 1. Regulatory Keynote Address
    Keynote
    10 mins
    
    Speakers
    
    Jon Kroeper, Executive Vice President, Quality of Markets, - FINRA

13:15
 1. Debate: Building an Effective Fixed-Income Market Abuse Programme
    Debate
    50 mins
     * Where have banks identified the most significant abuse risks in
       fixed-income markets?
     * How are banks breaking the data challenges in fixed-income into
       manageable steps?
     * Should banks be building dedicated fixed-income surveillance technologies
       or repurposing and recalibrating equity-based systems?
     * How can surveillance teams better understand fixed-income traders' risk
       positioning to better leverage the power of existing surveillance
       frameworks?
    
    Speakers
    
    Peter Gibbinson, Global Head of Market Conduct Surveillance - UBS
    
    Miki Mellegard, EMEA Head of Surveillance & Global Head of Product Risk and
    Strategy - Deutsche Bank
    
    David Reed, Executive Director, Compliance Surveillance, EMEA Compliance -
    J.P. Morgan Chase
    
    Colin Telmer, Managing Director, Global Head of Trade Surveillance -
    Scotiabank
    
    Jess Jones, Director, Head of Content - 1LOD

14:05
 1. Break
    5 mins
    

14:10
 1. Roundtable Discussion: Using Behavourial Analysis to Enhance Trade
    Surveillance
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions
    on specific topics. These sessions must be booked in advance.
 2. Roundtable Discussion: The Challenges of Data Driving Trade Surveillance
    Functions
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions
    on specific topics. These sessions must be booked in advance.
 3. Roundtable Discussion: Revisiting Best Practice for Trade and Market Abuse
    Surveillance
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions
    on specific topics. These sessions must be booked in advance.

14:50
 1. Break
    10 mins
    

15:00
 1. Debate: Surveillance Model Risk Governance
    Debate
    55 mins
     * Is the emphasis for surveillance applications to fall within the scope of
       ‘model risk’ driven by regulators, internal audit, compliance or another
       driver?
     * How can onboarding to model governance impact the effectiveness of trade
       surveillance capabilities? Are the risk management benefits proportionate
       to the costs of meeting the required standards?
     * Do trade surveillance SMEs have the necessary skills to manage the
       relationship with model risk management teams given the more qualitative
       nature of surveillance models compared to traditional quant areas such as
       valuations or algo trading?
     * Does the effort involved with model governance change the typical build
       vs buy decision making process when considering new surveillance
       capabilities?
    
    Speakers
    
    Alasdair Amos, Global Head of Market Surveillance Strategy and Optimisation
    - Barclays
    
    Steve Clark, Executive Director, Global Head of Trade Surveillance - Morgan
    Stanley
    
    Michael Hodnett, Managing Director, Global Head of Capital Markets
    Surveillance - Société Générale
    
    Will Davis, Consultant - XLoD Global

15:55
 1. Closing Summary
    Keynote
    5 mins
    



WHAT HAVE YOUR PEERS SAID ABOUT OUR VIRTUAL EVENTS?  


"GREAT EVENT AS ALWAYS AND THIS TIME WAS SPECIAL AS WE WERE ABLE TO CONNECT WITH
A WIDER STAKEHOLDER GROUP ACROSS MULTIPLE TIME ZONES. THE CONTENT WAS RELEVANT
AND WE HAD HEALTHY AND VARYING POINTS OF VIEW - KEEP IT UP, GREAT JOB!!"  

Rajeev Chib, APAC COO Investor Sales, Citigroup


"TOP CLASS SPEAKERS AT A WORLDWIDE EVENT. EVERY AUDIT PROFESSIONAL SHOULD
ATTEND."  

Gijs Borghouts, Chief Auditor, Corporate Banking, Risk & Finance, NatWest Group


“MANY THANKS TO ALL AT XLOD FOR ORGANISING A REALLY SUCCESSFUL EVENT.  THE
OPPORTUNITY TO GATHER AS AN INDUSTRY TO DISCUSS AND SHARE OUR EXPERIENCES OF
MANAGING RISK DURING RECENT TIMES WAS MUCH NEEDED.”   

Chris Hannaford, Executive Director, EMEA, Head of Surveillance and
Strategy, Nomura


"THE XLOD EVENT WAS AN INDUSTRY LEADING EVENT HOSTED PROFESSIONALLY, AND
BRINGING IN INDUSTRY LEADERS AND EXPERTS FROM ALL OVER THE GLOBE TO ACTIVELY
DEBATE AND SHARE THEIR VIEWS ON RELEVANT AND IMPORTANT TOPICS  - FOR THE BENEFIT
OF FIRMS, INDIVIDUALS AND THE INDUSTRY AT LARGE. LOOK FORWARD TO THE NEXT ONE!"
 

Ian Blair, Managing Director, Global Head of Surveillance, Credit Suisse


"WITH XLOD, THE 1LOD TEAM HAS ONCE AGAIN SUCCEEDED IN STAGING WHAT I CONSIDER TO
BE THE PREMIER CONFERENCE EVENT FOR THE CONTROLS COMMUNITY."  

Paul Clulow-Phillips, Managing Director, Co-Global Head of Markets Compliance &
Global Head of Capital Markets Surveillance, Société Générale


"XLOD HAD A GREAT LINE UP OF PRESENTERS AND A WIDE RANGE OF VIEWS WHICH PROVIDED
INFORMATIVE AND THOUGHT PROVOKING CONTENT"

Joanne Crofskey, Head of Business Risk & Controls, ANZ


"XLOD WAS A GREAT EVENT WITH THOUGHTFUL CONTENT."

Terri Duhon, Chair of the Board, Investment Management EMEA, Morgan Stanley


"AN AMAZING CONFERENCE BRINGING A GLOBAL PERSPECTIVE ON CONTROLS AND GREAT
OPPORTUNITY TO NETWORK WORLDWIDE!"  

Nathalie Risacher, Global Head Culture & Conduct, Natixis


"XLOD WAS EXTREMELY WELL ORGANISED, SEAMLESS FOR PRESENTERS AND REALLY USEFUL
CONTENT FOR DELEGATES"  

Nigel Kirby, Head of Group Financial Intelligence Unit, Lloyds Banking Group


"GREAT EVENT AS ALWAYS AND THIS TIME WAS SPECIAL AS WE WERE ABLE TO CONNECT WITH
A WIDER STAKEHOLDER GROUP ACROSS MULTIPLE TIME ZONES. THE CONTENT WAS RELEVANT
AND WE HAD HEALTHY AND VARYING POINTS OF VIEW - KEEP IT UP, GREAT JOB!!"  

Rajeev Chib, APAC COO Investor Sales, Citigroup


"TOP CLASS SPEAKERS AT A WORLDWIDE EVENT. EVERY AUDIT PROFESSIONAL SHOULD
ATTEND."  

Gijs Borghouts, Chief Auditor, Corporate Banking, Risk & Finance, NatWest Group


“MANY THANKS TO ALL AT XLOD FOR ORGANISING A REALLY SUCCESSFUL EVENT.  THE
OPPORTUNITY TO GATHER AS AN INDUSTRY TO DISCUSS AND SHARE OUR EXPERIENCES OF
MANAGING RISK DURING RECENT TIMES WAS MUCH NEEDED.”   

Chris Hannaford, Executive Director, EMEA, Head of Surveillance and
Strategy, Nomura


"THE XLOD EVENT WAS AN INDUSTRY LEADING EVENT HOSTED PROFESSIONALLY, AND
BRINGING IN INDUSTRY LEADERS AND EXPERTS FROM ALL OVER THE GLOBE TO ACTIVELY
DEBATE AND SHARE THEIR VIEWS ON RELEVANT AND IMPORTANT TOPICS  - FOR THE BENEFIT
OF FIRMS, INDIVIDUALS AND THE INDUSTRY AT LARGE. LOOK FORWARD TO THE NEXT ONE!"
 

Ian Blair, Managing Director, Global Head of Surveillance, Credit Suisse


"WITH XLOD, THE 1LOD TEAM HAS ONCE AGAIN SUCCEEDED IN STAGING WHAT I CONSIDER TO
BE THE PREMIER CONFERENCE EVENT FOR THE CONTROLS COMMUNITY."  

Paul Clulow-Phillips, Managing Director, Co-Global Head of Markets Compliance &
Global Head of Capital Markets Surveillance, Société Générale


"XLOD HAD A GREAT LINE UP OF PRESENTERS AND A WIDE RANGE OF VIEWS WHICH PROVIDED
INFORMATIVE AND THOUGHT PROVOKING CONTENT"

Joanne Crofskey, Head of Business Risk & Controls, ANZ


"XLOD WAS A GREAT EVENT WITH THOUGHTFUL CONTENT."

Terri Duhon, Chair of the Board, Investment Management EMEA, Morgan Stanley


"AN AMAZING CONFERENCE BRINGING A GLOBAL PERSPECTIVE ON CONTROLS AND GREAT
OPPORTUNITY TO NETWORK WORLDWIDE!"  

Nathalie Risacher, Global Head Culture & Conduct, Natixis


"XLOD WAS EXTREMELY WELL ORGANISED, SEAMLESS FOR PRESENTERS AND REALLY USEFUL
CONTENT FOR DELEGATES"  

Nigel Kirby, Head of Group Financial Intelligence Unit, Lloyds Banking Group


"GREAT EVENT AS ALWAYS AND THIS TIME WAS SPECIAL AS WE WERE ABLE TO CONNECT WITH
A WIDER STAKEHOLDER GROUP ACROSS MULTIPLE TIME ZONES. THE CONTENT WAS RELEVANT
AND WE HAD HEALTHY AND VARYING POINTS OF VIEW - KEEP IT UP, GREAT JOB!!"  

Rajeev Chib, APAC COO Investor Sales, Citigroup


"TOP CLASS SPEAKERS AT A WORLDWIDE EVENT. EVERY AUDIT PROFESSIONAL SHOULD
ATTEND."  

Gijs Borghouts, Chief Auditor, Corporate Banking, Risk & Finance, NatWest Group


“MANY THANKS TO ALL AT XLOD FOR ORGANISING A REALLY SUCCESSFUL EVENT.  THE
OPPORTUNITY TO GATHER AS AN INDUSTRY TO DISCUSS AND SHARE OUR EXPERIENCES OF
MANAGING RISK DURING RECENT TIMES WAS MUCH NEEDED.”   

Chris Hannaford, Executive Director, EMEA, Head of Surveillance and
Strategy, Nomura


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