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The 2023 fines and continued intense regulatory scrutiny have forced banks to review their strategy in the communications surveillance space. But what else is needed to meet the evolving expectations from the regulators? The struggle remains real in ensuring the channels demanded by the business are incorporated into their recording and monitoring solutions, and alongside this, policy and procedures need to be continuously reviewed. Looking towards investment in technology, budgets for communications surveillance are reflecting the necessity to avoid the regulators glare. Where and how should banks be investing in surveillance technology? Is AI the answer and how can it be best used to increase efficiencies?
Join us at the virtual Communications Surveillance Deep Dive and address the challenges and complexities inherent in modern communications surveillance, with a focus on regulatory compliance, technological advancements, data capture, and coverage strategies.
Regulatory Keynote Interview
Lindsay Moilanen, U.S. Securities and Exchange Commission (SEC)
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Lindsay began her career at the SEC in 2015 and served as Senior Counsel in Enforcement, and now currently oversees part of the enforcement program at the SEC’s New York Regional Office and Market Abuse Unit. Lindsay will be speaking about trends for year ahead given the large number of enforcement actions filed by the SEC in 2023, as well as the SEC’s position on self-reporting and whether there is a definitive benefit to it.
Featured Speakers
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What to expect
- Engage with your direct peers globally to exchange insights and experiences in communications surveillance
- Engaging debates and discussions on evolving regulatory landscapes and technological advancements in comms surveillance
- Insights from industry experts and thought leaders on best practices for meeting regulatory expectations and optimising surveillance programmes
- Exploration of challenges and opportunities in utilising AI, NLP, and other advanced technologies for improved surveillance efficiency and accuracy
- Practical strategies for proactively addressing compliance gaps, capturing diverse communication channels, and enhancing data completeness
- Guidance on resource allocation, prioritisation, and decision-making regarding the scope and coverage of surveillance programmes
Banks turn to new tech for core surveillance challenges
The message from the E-Comms Surveillance Deep Dive 2023 was clear: this is the way forward because reliance on policy, attestation and partnership between the 3 lines is no longer enough.
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.
Who should attend
Managing Directors, Directors, and Head of Functions from Banks, Asset Managers and other Financial Institutions working within:
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