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.

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

VIEW AGENDA

Networking

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

Roundtables

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.

"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