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Knowledge Hub

The 2024 Surveillance Benchmarking Survey & Report

In our Knowledge Hub you can find lots of insightful reports, covering a variety of challenges and topics of interest for the 3 lines of defence. You can browse through all the content or select a filter to see specific topics within the Knowledge Hub.
  • Leaders from the 3 lines discussed the future of operational risk management at 1LoD’s XLoD Leaders’ Network event in New York, including the use of technology and analytics.
  • Participants were optimistic that AI and machine learning could automate the identification of control gaps and control enhancements, creating a more streamlined control environment and improving risk ...
  • A recent article by Banking Risk and Regulation (part of the Financial Times Group) on non-financial risk training highlights huge gaps and inconsistencies in training standards in the industry – it e ...
  • XLoD Global – London attracted around 700 senior practitioners from 1st line risk and control functions, 2nd line compliance and risk units, and 3rd line audit teams over two days in November.
  • Do more with less

    11 Dec 2023
    At 1LoD’s recent Surveillance Leaders’ Network in New York, participants discussed surveillance risk assessments, the use of AI to enhance surveillance, and the challenges of cross-market manipulation ...
  • Hear from Simon Brady, Editor, 1LoD, on the key takeaways from XLoD Global - London 2023.
  • Trade surveillance is still the basis for detecting and preventing market abuse and misconduct. But it’s hard and becoming even harder.
  • As firms complete FCC remediation, and regulators determine that their programmes are sound, they are looking to invest in technology to scale up.
  • Capturing communications is essential for US asset managers, but what is the best approach? 
  • As circumvention becomes a more pressing problem for sanctions teams, banks will need technology to spot any tricks used to throw traditional analytics off the scent. 
  • It’s the end of an era for asset managers – an era in which communications surveillance and the analysis of culture and conduct took a back seat to commercial considerations of cost, risk and value. 
  • How can non-financial risks, or NFR, be better managed from the perspectives of people, processes, technology and culture?