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Buyside Surveillance Deep Dive Agenda

Check out the full agenda below. You can search for key sessions, speakers or topics using the search bar. 

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13:00
  1. Welcome Address
    Keynote
    5 mins
    Panellists
    John Baskott
    John Baskott, Co-Founder - 1LoD
13:05
  1. Regulatory Keynote Address
    Keynote
    10 mins
    Regulatory Keynote speaker to be announced soon
13:15
  1. Keynote Address
    Keynote
    10 mins
    Senior Keynote speaker to be announced soon
13:25
  1. Debate: The Future of Trade Surveillance – Optimising a Risk Based Approach
    Debate
    40 mins
    How are regulators’ expectations evolving regarding risk based surveillance methods versus legacy rules based and sampling models? How can trade surveillance operating models be tailored to individual ...
    Moderator
    Simon Brady
    Simon Brady, Editor - 1LoD
    Panellists
    Nick Maslavets
    Nick Maslavets, Global Head of Trade Surveillance Development - Citadel
    Richard Brearly
    Richard Brearly, Head of Compliance - Ninety One Asset Management
    Rohit Mangla
    Rohit Mangla, Global Head of Investment Compliance and Monitoring - Fidelity International
14:05
  1. Break
    10 mins
14:15
  1. Roundtable: Is there a role for surveillance to monitor culture?
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
    Moderator
    Jess Jones
    Jess Jones, Director, Head of Content - 1LoD
  2. Roundtable: How can trade surveillance be scaled to cover all asset classes?
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
    Moderator
    Simon Brady
    Simon Brady, Editor - 1LoD
  3. Roundtable: How can surveillance technology be used to demonstrate best execution?
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
    Moderator
    Dr Roger Noon
    Dr Roger Noon, Senior Moderator - 1LoD
14:55
  1. Break
    10 mins
15:05
  1. Debate: Holistic Integration of Voice and E-Comms Data
    Debate
    50 mins
    How can the risk of misconduct and market abuse be minimised through the ingestion of a more holistic set of communication streams? How can firms transition from sampling and rules-based operations to ...
    Moderator
    Dr Roger Noon
    Dr Roger Noon, Senior Moderator - 1LoD
    Panellists
    Ryan Taylor
    Ryan Taylor, Group Head of Compliance & Co-COO - Brevan Howard
    Stan Yakoff
    Stan Yakoff, Head of Americas Supervision - Citadel Securities & Adjunct Professor, Fordham Law School
15:55
  1. Closing Summary
    Keynote
    5 mins
    Panellists
    John Baskott
    John Baskott, Co-Founder - 1LoD
16:00
  1. 1:1 Meetings
    1:1 Meeting
    60 mins
13:00
  1. Welcome Address
    Keynote
    5 mins
    Panellists
    John Baskott
    John Baskott, Co-Founder - 1LoD
13:05
  1. Keynote Address
    Keynote
    10 mins
    Keynote speaker to be announced soon
13:15
  1. Debate: Can Innovations in Surveillance Technology Deliver Competitive Advantage?
    Debate
    55 mins
    How do improved surveillance analytics present an opportunity for competitive advantage? Can surveillance technology be used to monitor culture and what are the ethical considerations of this? How are ...
    Moderator
    Mark Carawan
    Mark Carawan, Former Group Chief Compliance Officer, Citigroup; and Senior Advisor - 1LoD
    Panellists
    David Hagan
    David Hagan, Interim Front Office Control Officer - Artemis Investments
    Evan Gordon
    Evan Gordon, Chief Compliance Officer - APG Asset Management US Inc.
14:10
  1. Break
    10 mins
14:20
  1. Roundtable: Assessing the role of surveillance in complying with ESG
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
  2. Roundtable: When developing trade surveillance functions, should firms buy or build?
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
    Moderator
    Simon Brady
    Simon Brady, Editor - 1LoD
  3. Roundtable: How can surveillance functions be calibrated to reduce false positives without missing potential conduct breaches?
    Interactive Roundtable
    40 mins
    These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
    Moderator
    Dr Roger Noon
    Dr Roger Noon, Senior Moderator - 1LoD
15:05
  1. Debate: Buy or Build: The Technology Debate
    Debate
    50 mins
    How best to leverage vendor innovation and integrate external technology with legacy architecture Does the technology exist today to support real time fully holistic surveillance? Should firms be buil ...
    Moderator
    Jess Jones
    Jess Jones, Director, Head of Content - 1LoD
    Panellists
    Andrew Garnett
    Andrew Garnett, Head of Compliance - Royal London Asset Management
    Elinor Murray
    Elinor Murray, Global Compliance Director - Franklin Templeton Investors
15:55
  1. Closing Summary
    Keynote
    5 mins
    Panellists
    John Baskott
    John Baskott, Co-Founder - 1LoD
16:00
  1. 1:1 Meetings
    1:1 Meeting
    60 mins

Book your place today!

Non-financial institution delegates do not have access to interactive roundtable discussions which are only open to financial institutions and a limited number of sponsoring technology vendors and consultants.

For sponsorship opportunities please contact Andrew.Lennon@1lod.com

CPD/CPE Credits are redeemable against Deep Dive attendance. 

Group / series booking discounts for your institution may be available. For more details please contact Jack West at Jack.West@1lod.com 

Select one of the options below to register your place:

I work in the UK     I do not work in the UK

What have your peers said about our virtual events?  

"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

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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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