Dr Alexis Stenfors
Financial Economic & Author of ‘Barometer of Fear: An Insider’s Account of Rogue Trading'
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.
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:
How will this benefit me and my organisation?
Just some of the topics to be discussed include:
How the Deep Dives work
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.