Surveillance within financial institutions has historically been viewed as a compliance function of limited value, often being conducted in low-cost, anonymous locations 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 since invested considerably in building up large, sophisticated surveillance teams both in compliance and increasingly in the business itself.

 

The Surveillance Summit London in March 2019 was the first practitioner-led event held for this nascent sector, bringing together over 200 surveillance leaders, their direct reports, peers from other areas of the financial institutions, the regulator, external experts, and the leading technology and service providers.

 

Building on its huge success and previous 1LoD Summits in London, New York and Hong Kong, on 17th September 2019 the Surveillance Summit New York will be held, becoming the first US focused independent conference dedicated to Surveillance functions where practitioners can gather, network and learn as the sector undergoes unprecedented change.

 

Scroll down to download the full agenda and confirmed speaker list.

 

Speakers

 

Thomas Gira, 

Executive Vice President, Market Regulation & Transparency Services, 

FINRA

Petraeus, David pic_edited.jpg

General David H. Petraeus, Former Director of the Central Intelligence Agency,

and Chairman,

KKR Global Institute

Rajeev Dave, 

Head of Surveillance, Americas, 

Barclays

Nick Leeson pic Credit Andrew Downes_edi

Nick Leeson,

‘The Original Rogue Trader’, 

Former Barings Trader

Stephen Ditaranto, 

Managing Director, Global Co-Head of Surveillance, 

Deutsche Bank

Steven Schluter, 

Executive Director, Global Head of ISG Surveillance Strategy, 

Morgan Stanley

Summit Agenda

To view the current agenda for summit, featuring all sessions, speakers 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: 

  • Soteria: Regulatory Compliance – The ‘Fire Alarm’ Test for Financial Services

  • Soteria: An All-in-One Solution for Compliance, Surveillance and Risk 

  • Catelas: Catelast Insights Q3 2019

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

What do people say about the Surveillance Summit?

“With first class organisation and truly relevant content, the 1LoD surveillance conference is the annual “go to” event for all surveillance and monitoring practitioners. ”   

 

Robert Hammond, Global Head of Surveillance, Global Banking and Markets, HSBC

Lead Sponsors

Associate Sponsors

Delegates

Register Now

Delegate Rate for Financial Institutions

$1495

Delegate Rate

$2795

If you wish to receive information about the marketing opportunities available please contact john@1lod.com as there may be special deals available.

Delegate Package Includes

  • Access to all the main speaker sessions

  • Opportunity to actively participate in small break out discussion groups NB you choose which discussions you wish to join prior to the event

  • All breakfast, lunch and refreshment breaks

  • The Surveillance Summit Drinks Reception

  • Opportunity to pose questions directly to speakers (even before the conference!)

  • Access to the Surveillance Summit App which includes an intra-delegate messaging system

  • Opportunity to participate in live industry polls and receive the results after the conference in a post event report

  • Digital content in the period before the event

Intelligence for Risk and Control Professionals

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