Surveillance within financial institutions has historically been viewed as a compliance function of limited value, often being conducted in a low-cost, anonymous location by relatively junior employees. Since 2012 that situation has changed. A combination of the financial crisis, high-profile misconduct issues and punitive action by the regulators has resulted in a paradigm shift in attitudes towards conduct in the industry. Financial Institutions have now invested considerably in building up large, sophisticated surveillance teams both in compliance and increasingly in the business itself.

 

The Surveillance Summit was the first practitioner-led event for this nascent sector. 1LoD had already been very successful in bringing together surveillance leaders at small private events in New York and London. In March 2019 it built on this success by launching the leading industry-wide, annual event for this sector. 

 

The Surveillance Summit gathered together surveillance leaders, their direct reports, peers from other areas of the financial institutions, the regulator, external experts, and the leading technology and service providers. It will become the annual event where the whole community can gather, network and learn as the sector undergoes unprecedented change.

The Summit also featured the latest audience interaction technology to ensure maximum engagement between speakers and delegates, even before the event.

 

Speakers

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Simon Hargreaves

Head of Secondary Market Oversight, 

Financial Conduct Authority

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Nick Leeson,

'The Original Rogue Trader', 

Former Barings Trader

Ian Blair

Managing Director, Global Co-Head of Surveillance,

Credit Suisse

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Antony Jenkins

Founder & Executive Chairman,

10x Future Technologies
(Formerly Group CEO of Barclays 2012 - 2015)

Robert Mason

Global Head Market Conduct Monitoring Capabilities,

UBS 

Paul Clulow-Phillips

Managing Director, Co-Global Head of Markets Compliance, Global Head of Capital Markets Surveillance,

Societe Generale

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Rukshan Permal

Partner, Financial Services,

PwC

Graham Ure

Partner, Financial Services,

PwC

Summit Agenda

To view the draft agenda for summit, featuring all sessions, roundtables and more, please fill in the form below. If you have any issues please do not hesitate to contact us. 

Exclusive Sponsor Content

Below you can access exclusive content from our sponsors. Content includes: 

  • PwC: Our Holistic Approach to Addressing Market Abuse

  • PwC: Protecting Against Market Abuse and Misconduct Risk

  • Soteria: Regulatory Compliance Fire Alarm Test for Financial Services

  • Soteria: Compliance Workflow Overview

  • VoxSmart: Adopting a Unified Mobile Surveillance Strategy

  • Blackout Technologies: How Secure is Your Workplace?

  • Digital Reasoning: Conduct Surveillance: Intelligence Lies at the Heart of Every Good Defense Strategy

  • Fonetic: Trade Reconstruction

  • Fonetic: Voice Surveillance

  • MobileWatch: Instead of Seeing New Landscapes, Develop New Eyes

  • Nasdaq: The Case for Surveillance Technology

  • Nasdaq: Pre-Hedging within FX Markets - A Market Manipulation Use Case

  • Nasdaq: SMARTS Trade Surveillance for Market Participants

  • NICE Actimize: Markets Surveillance Buying Guide

  • NICE Actimize: Next Generation eComms Surveillance Buying Guide

  • OneTick: Surveillance Overview 

  • Promontory: Market Manipulation

  • Promontory: The Regulatory Light Is Shining On You

  • Promontory: Supporting Your 2019 Regulatory Agenda

  • Relativity: Introducing Relativity Trace

  • SteelEye: The Complete Surveillance Solution is One Click Away

Lead Sponsors

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Associate Sponsors

AQUIS TECHNOLOGIES Logo POS (transparent
 

Delegates

Intelligence for Risk and Control Professionals

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