Buyside Surveillance Deep Dive

Eliminating market abuse, the future of trade and communication surveillance

The first Deep Dive of 2022, taking place 25 and 26 January, will focus on Buyside Surveillance for trading, E-comms and voice surveillance for non-financial risk and control professionals on the buyside.

Why now?

Expectations of regulators and clients are rapidly evolving. This has led to increased demand for new technological solutions in firms' surveillance programmes. There is a rising necessity for surveillance technology to be able to verify firms' control functions are performing to specification, and to identify when cases of misconduct occur. 

What can you expect?

This Deep Dive, which will take place over two days each with three hours of interactive discussions, will provide a focused, interactive platform for senior leaders in this space to come together to share current best practice, and discuss future trends.


Buyside Surveillance Deep Dive - 1LoD

Panel topics

  • The future of trade surveillance – optimising a risk-based approach
  • Holistic integration of voice and e-comms data
  • Can innovations in surveillance technology deliver competitive advantage?
  • Buy or build: the technology debate
  • How can trade surveillance operating models be tailored to individual asset classes?
  • How can behavioural profiling of traders reduce workload and risk of market abuse?
  • How best to leverage vendor innovation and integrate external technology with legacy architecture

Roundtable discussions

  • Is there a role for surveillance to monitor culture?
  • How can trade surveillance be scaled to cover all asset classes?
  • How can surveillance technology be used to demonstrate best execution?
  • Assessing the role of surveillance in complying with ESG
  • When developing trade surveillance functions, should firms buy or build?
  • How can surveillance functions be calibrated to reduce false positives without missing potential conduct breaches?

Who should attend?

Practitioners from Buyside Firms working in:

  • Compliance

  • Compliance Monitoring

  • Trade Surveillance

  • Comms Surveillance

  • Voice Surveillance

  • CRO and Risk functions

  • Operational Risk

  • 1st Line Control functions

  • Business COO's

  • Governance Risk and Compliance





How the Deep Dives work


  • A series of interactive pre-booked roundtable discussions between financial institutions, moderated by 1LoD
  • An intra delegate messaging system
  • 1:1 video meetings on Zoom


These private, off the record roundtables will be moderated by 1LoD, and will be attended by delegates who have booked their place in advance.  They will take place on Zoom.  Delegates will be sent discussion topics, and an overall structure of the debate in advance to aid the flow of the discussion. 

What have others said about attending our virtual events?