Skip to main content

Trade Surveillance - Deep Dive


CPD logo

Registration for the event is now closed.

Keynote Addresses

25 April 2023


Dr Alexis Stenfors

Financial Economic & Author of ‘Barometer of Fear: An Insider’s Account of Rogue Trading'

26 April 2023


Jon Kroeper

Executive Vice President, Quality of Markets, FINRA

With a growing range of financial products and trading venues becoming available, trading is becoming more intricate, increasing the volume of transactions that need to be surveilled by financial institutions under regulations. This combined with global institutions’ need to remain compliant with regional regulatory expectations ensures now more than ever, trade surveillance teams need to understand what best practice looks like.

Furthermore, there now arises questions as to whether legacy systems are up to the challenge of surveilling Fixed Income products. The challenge arises owing to the difficulty in price discovery in the asset class, questioning whether the susceptibility of cross market manipulation in Fixed Income markets is the biggest risk of market abuse facing surveillance programmes? 

The new hybrid model of working, multiple communication channels and the growing use of trading technologies, requires a far more sophisticated level of real time, or appropriate timed, investigations of suspicious trading activity. The growing need to integrate surveillance systems and understand how financial institutions should best leverage innovation is now of fundamental importance for surveillance programmes.

Read the post event report from our 2022 event

What can you expect

This virtual Deep Dive will examine the evolving regulatory risk landscape for trade surveillance, the solutions on offer to deliver optimal surveillance functions, best practices to mitigate reputational risk and market abuse and the challenges trade surveillance teams are currently facing.

Taking place over two days each with three hours of debates and interactive roundtable discussions for financial institution delegates you will have the opportunity to:

  • Join a series of carefully managed interactive pre-booked discussions between financial institutions, moderated by 1LoD
  • Hear live keynote addresses and debates incorporating delegate Q&A sessions
  • Use an inter-delegate messaging system available before, during and after the event
  • Catch up on missed content, on-demand, for seven days after the event is finished
  • Access to content and presentations from leading technology vendors and consultants


View the agenda

Energy Trading Surveillance Americas Deep Dive - 1LoD

How will this benefit me and my organisation?

  • Hear and interact with your peers globally
  • Discover ways your institution can improve its approach to trade surveillance
  • Benchmark your trade surveillance capabilities against your peers
  • Hear from senior practitioners who are buying and building trade surveillance platforms
  • Identify ways to increase efficiency within your institution
  • Document your continued professional development by gaining CPD/CPE credits
  • Expand your professional network

Just some of the topics to be discussed include:

  • Detecting Cross-Product Market Abuse
  • Dark Pool Market Abuse
  • The Benefits of Trader Profiling
  • Technology: Making Trade Surveillance More Manageable
  • Contextual Monitoring – Aligning Market Abuse and Market Manipulation Detection
  • Building an Effective Fixed-Income Market Abuse Programme
  • Using Behavioural Analysis to Enhance Trade Surveillance
  • Revisiting Best Practice for Trade and Market Abuse Surveillance
  • The Challenges of Data Driving Trade Surveillance Functions
  • Surveillance Model Risk Governance

Who should attend?

Managing Directors, Directors, and Head of Functions from Banks and Asset Managers working within:

  • Surveillance
  • 1st Line Control
  • COO function
  • Compliance Technology 
  • Audit
  • Compliance
  • Operational Risk
  • Culture and Conduct
  • CRO & SMCR Function


How the Deep Dives work


  • A series of interactive pre-booked roundtable discussions between financial institutions, moderated by 1LoD
  • An inter-delegate messaging system


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.

What have others said about attending our virtual events?  

Do you have a product or service that could benefit the audience?

Join the leading firms that are benefiting from the sponsorship and marketing opportunities available.

Contact Andrew Lennon now for details: 
+44 (0)7914 215 980

Lead Sponsor