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Lunch & Networking in the Exhibition Area
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Registration, Coffee & Networking
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Coffee & Networking in the Exhibition Area
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Coffee & Networking in the Exhibition Area
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- What lessons can other firms learn from the recent fines to enhance their trade surveillance and broader compliance systems?
- What steps can banks take to ensure they have the correct data capture and connectivity solutions for monitoring their trades?
- Are banks conducting assessments into the venues they are using? To what extent has the proliferation of trading venues increased the complexity and depth of coverage needed by surveillance programmes?
- How can new technologies help banks demonstrate comprehensive surveillance and coverage of all venues?
- To what extent can financial institutions effectively leverage AI technology to analyse vast amounts of trade surveillance data to detect potential market abuse activities?
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- To what extent does the evolving risk landscape necessitate a re-evaluation of the controls frameworks?
- What are the key considerations in determining control efficiency and how are banks reporting on control?
- What are the key enablers of the next generation control framework, and how do they contribute to achieving the vision of controls transformation?
- How can organisations leverage technology and data to support their controls environment and enhance risk management capabilities, particularly in the context of automation and AI?
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- How can organisations effectively identify principal risks to their reputation?
- What metrics should organisations utilise for consistent measurement of reputational risk?
- What methods should be used to categorise and assess the most material risks for effective monitoring?
- How can organisations establish an effective governance model to define risk appetite and deploy policies?
- What actions can be taken to foster a reputation-focused culture? How can organisations incorporate an 'outside in' perspective to build reputational resilience?
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- How are internal auditors adapting to the integration of AI and other emerging technologies in their audit processes? What steps should audit functions take to understand new risks and leverage opportunities provided by these technologies?
- What are the practical issues and challenges of auditing culture? And how do firms focus on what’s beneath the iceberg?
- What strategies are internal auditors employing to prepare for increased external disruptions? How do they maintain and test dynamic crisis management plans to ensure they are practical and effective?
- With the increasing focus on ESG and sustainability metrics, what role should internal auditors play in the early stages of establishing accurate reporting processes and controls?
- How can internal auditors strengthen their involvement in key business decisions? What are the benefits of building trust within the organisation and staying informed of external developments for shaping effective controls and compliance strategies?
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- To what extent does limiting communication activities to defined official channels, push more employees to use unofficial channels to appease client demands?
- How are banks adapting to the changing landscape of technology to capture the proliferation of emerging apps & platforms?
- To what extent is the formulation of policy unrealistic to the everyday realities of client communication demands?
- How can banks ensure they maintain dynamic, real-time coverage to ensure the capture all communication channels?
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- At what stage of maturity is the industry in moving towards realtime risk identification and remediation?
- What steps can be taken to implement automated monitoring systems that continuously assess key risk indicators in real-time for proactive risk mitigation?
- How can advanced analytics and real-time data feeds beleveraged to enable dynamic risk identification in the 1st line of banks?
- How can 1st line employees be empowered with tools and training to identify and report emerging risks promptly, fostering a culture of risk awareness and accountability?
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- What opportunities are there for banks to further develop their operational risk metrics so as to better align with tthose available within credit & market risk analytics that cover their trading businesses?
- How can banks leverage advanced technologies like AI and data analytics to enable realtime insights into risks?
- How can financial institutions adopt agile risk management frameworks to quickly adapt to changes in the business environment, regulatory landscape, and emerging risks?
- Is it possible to develop industry standard metrics across a range of operational risks?
- Should firms focus on creating dedicated teams to focus on specific operational risks or should firms focus on improving collaboration between the business and 2nd Line?
- Should banks be doing more to focus on improving riskawareness culture within the organisation, reducing the need for siloed, duplicative functions?
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- To what extent has culture improved in financial institutions? What role does the 1st line play in improving culture, and has this been successful?
- Do practitioners in the 1st line have the necessary skillsets to manage and evaluate culture? Who should manage and implement the Culture Assessments? How do you balance ownership & independence?
- How are behavioural-led strategies for enterprise-wide culture development helping drive progress across organisations?
- Do firms address conduct and culture as part of risk domains? Should this change?
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- How can trade surveillance leaders effectively navigate the challenge of running complex systems with limited budgets, whilst aiming to detect rare market events and behaviours amid a sea of noise?
- In what ways has the approach to surveillance in the financial sector stagnated, and what revolutionary changes are needed to address evolving risks and challenges?
- What are the primary issues and solutions that banks prioritise in trade surveillance, particularly in dealing with budget constraints and the aftermath of market manipulation?
- Amid the challenges of data coverage, venue proliferation, and false positives, how can advancements in technology and automation be leveraged to support more efficient and comprehensive trade surveillance efforts?
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- Data quality issues are not new to financial services. Why is data still one of the largest problems facing the 3 lines of defence? What does good risk data governance look like?
- What role does accurate, reliable, standardised, and unbiased data play in supporting early risk identification and decision-making for more effective risk management?
- How can effective data management accelerate decision-making within risk functions? What are the key considerations for leveraging data to ensure timely and accurate insights that drive strategic decisions?
- What are the key components of an effective Integrated Risk Management (IRM) ecosystem? How can organisations overcome challenges associated with data aggregation and reporting in systems that traditionally operate in silos?
- Considering there is no 'one size fits all' solution for IRM systems, how should organisations tailor their tech stacks to meet their specific needs? What factors should be considered when aligning technology, policies, and data to improve risk mitigation and operational efficiency?
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- How has the role and expectations of General Counsel and Chief Legal Officers and their functions evolved over the last 5 years?
- How can general counsels balance the need for innovation with the imperative of risk management, particularly concerning the implementation of advanced technologies like artificial intelligence, blockchain, cryptocurrency?
- What role does technology play in helping legal teams manage regulatory compliance challenges? How do constantly changing regulations and evolving internal policies challenge the ability of general counsels to oversee regulatory compliance effectively?
- What are the specific challenges associated with ensuring data transparency and accountability for general counsels responsible for compliance, particularly when banks maintain a siloed structures?
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- How do you envision the evolution of risk management frameworks over the next decade, considering the rapid pace of technological advancements and regulatory change?
- As the banking landscape continues to evolve, what strategies are being implemented to ensure that risk and control frameworks remain agile and adaptable to emerging threats and opportunities?
- With the increasing interconnectedness of global financial markets and associated risks, how are you preparing your organisation to effectively navigate and mitigate these risks?
- In light of the growing importance of Environmental, Social and Governance (ESG), how sustainability initiatives being integrated into risk & control functions within your organisation?
- How are risk and control functions leveraging technology and data analytics to proactively identify and address potential vulnerabilities in processes and systems?
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- What are the remaining challenges that banks face in meeting Global Operational Resilience Regulations?
- How are firms addressing the challenges in assessing the resilience of 3rd parties including Financial Market Infrastructure and less regulated suppliers?
- What steps are firms taking to enhance processes and controls to manage supply chain risks throughout the entire lifecycle of business relationships?
- What have banks learnt from recent cyber disruptions about how they can mitigate resilience and cyber risks from 3rd & 4th parties?
- How can banks effectively transition operational resilience into a sustainable Business-As-Usual (BAU) activity?
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- How does the evolution of interactions across various communication platforms impact the capture and monitoring of spoken interactions, and what challenges does this pose for compliance teams?
- How are surveillance functions addressing the issue of continued conversations across multiple platforms?
- Trade reconstruction is not new, but should there be a 'communication reconstruction' that can track identity profiles and link external parties through multiple channels?
- How can data insight capabilities and sentiment analysis play a role in mitigating conduct risk and enabling proactive management of market abuse?
- Is the development of communication surveillance technology too challenging, and do surveillance practitioners have the skills required to assess traders’ sentiment?
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- What are the key supervisory controls which banks should be focused on enhancing?
- What is the balance between preventative and detective controls banks should be striving for?
- How often should banks review their controls library to ensure there are no redundant or duplicative controls?
- What are the key considerations when assessing control effectiveness?
- Why is there no industry standardisation for the 1st line supervision function? Both in terms of target operating model or taxonomy?
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- Banks remain inundated with legacy systems, but to what extent will new technology support a complete overhaul and redesign in pursuit of modernisation and efficiency?
- How can Artificial Intelligence (AI) and machine learning (ML) technologies enhance risk & compliance professionals' ability to manage non-financial risk?
- What challenges and opportunities arise from the rapid evolution of technology and regulatory landscapes? How can practitioners ensure they stay updated and adaptable to effectively leverage new technologies while meeting transparency requirements?
- What steps can firms take to ensure their models are trained on unbiased, accurate, and complete datasets?
- What strategies can organisations employ to upskill practitioners on innovative technology? What is the role of technology teams vs. those in the business?
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- What specific guidelines and standards do regulators set for communication surveillance? How do banks see this evolving in the near future?
- In what ways can firms anticipate evolving regulatory expectation?
- How do regulatory expectations for comms surveillance evolve in response to technological advancements and changes in communication channels?
- How can banks ensure their SRAs (surveillance risk assessments) and MRAs (material risk assessments) effectively capture all necessary risks, data and venues?
- How can banking organisations proactively adapt their communication surveillance frameworks to align with shifting regulatory expectations and ensure compliance whilst ensuring BAU coverage?
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- What are the key considerations for firms when designing their 1st Line target operating model? How are practitioners expecting the operating model to change in the coming years?
- How well are 1st line control teams balancing the management of BAU controls with the successful delivery of change programs & incident management?
- Are 1st line risk & control functions sufficiently resourced with the appropriate breadth of skill sets required to manage expanding nonfinancial risk types?
- How can firms harmonise controls and redesign the processes to increase coverage, efficiency and effectiveness? Are there any ‘easy wins’ banks can implement to increase efficiency and effectiveness?
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In today’s regulatory landscape, demonstrating the completeness of your surveillance program is critical for ensuring compliance. This session will explore the components of a future proof surveillance framework.
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How can machine learning tools revolutionise trade surveillance by making the analysis process quicker, more cost-effective, and efficient? By training on historical data, these tools learn to distinguish between relevant and non-relevant alerts, providing analysts with prioritized evaluations and relevance scores. This helps focus on critical alerts and also automatically close low-relevance ones, optimising the overall surveillance workflow.
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- In a more volatile, complex environment of algorithmic and high-frequency trading which causes increasing noise, do trade surveillance technologies have the capability to manage increasing complexity?
- Given the lag in progress in trade surveillance compared to comms surveillance, why is it not receiving the necessary allocation of resource to develop? To what extent have recent enforcement actions relating to trade surveillance altered this position?
- How can surveillance and compliance teams justify the increasing need to allocate resources to surveillance? Does this continue to rely primarily on regulatory action?
- To what extent can banks recalibrate thresholds to reduce the number of alerts without running the risk of missing outliers and historical activity that may amount to malfeasance?
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- What do banks see as the emerging risks that should be prioritised? How can banks ensure effective coverage of evolving risks whilst managing BAU activities?
- How do financial and non-financial risks intersect and influence each other within banks?
- To what extent can banks develop and implement integrated risk management frameworks that effectively address both financial and non-financial risks?
- How do banks incorporate geopolitical risk assessment within their non-financial risk frameworks and taxonomies?
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Coffee & Networking in the Exhibition Area sponsored by OneTick
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- What are leaders’ priorities in 2025, and what are the most material risks banks are facing?
- How are banks managing emerging risks? Has there been a paradigm shift in banks’ view of risks in the wake of increasing emerging risks?
- What steps are banks taking to assess and manage risks arising from geopolitical tensions and global economic uncertainties?
- In a time of cost cutting and doing more with less, will innovation across the 3 lines of defence be accelerated or stalled?
- To what extent do attempts to right-size risk & control function open banks up to greater risks?
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Registration, Coffee & Networking sponsored by OneTick
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Lunch & Networking in the Exhibition Area sponsored by SteelEye
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These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
A: Understanding Risk Appetite and Acceptance
B: Risk Assessments in the 1st Line
C: The Future of Controls
D: Harmonisation and Integration of NFR Frameworks
E: Ensuring Effective Calibration of Trade Surveillance
F: Future of Voice Surveillance Capabilities
G: Innovating and Ensuring Effective Communications Surveillance
H: Enhancing Surveillance in OTC Markets
I: Outstanding Challenges in Operational Resilience
J: Harnessing AI & Cutting-edge Technology for Enhanced Risk Detection
K: Culture & Conduct: Is there still a problem?
L: Ability to Reduce Low Value Activity across the 3LoD
M: Future-Proofing Internal Audit Teams
N: Effectively Managing Multiple Global Regulators
O: Opportunities for Better Partnership Across the 3 Lines of Defence
P: Optimising Risk Management and Controls Through Effective Data Management
Q: Horizon Scanning for Future and Emerging Risks
R: Proliferation of New Trading Venues
S: Surveillance Coverage of New and Emerging Risk Types
T: Regulatory Expectation for Integrating AI & ML into Surveillance Programs
U: Managing the Interconnectedness of Risks
V: Integrating ESG into Broader Risk Management Frameworks
W: The Future Practitioners of the 3 Lines of Defence
X: The Future of Digital Assets Risk & Technology
Y: Integrating Geopolitical Risk Management into Risk & Control Frameworks
Z: Understanding the Threat Posed by Cyber Attacks and the Response
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- How do regulators balance the need to ensure stability while fostering innovation and expansion within the industry?
- What are the challenges posed by fragmentation in regulation across different jurisdictions, and how can regulators further collaborate to mitigate these challenges and maintain consistency in oversight?
- How can regulators support firms to manage data privacy concerns while continuing to operate across borders?
- What measures are being taken to ensure compliance with data protection regulations while facilitating cross-border business activities?
- What are some of the emerging risks that regulators are currently monitoring, and what proactive steps are being taken to address and mitigate these risks?
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A Regulator asked for collection of records between two institutions – the number of records did not match and critically, highlighted missing records and an incomplete data set from one of the institutions. This case study covers the solutions that were developed to mitigate this issue.
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Financial institutions must navigate complex and ever-changing compliance challenges. Join this case study to explore how AI-powered solutions can streamline compliance. This session will break down compliance requirements and demonstrate Appian's innovative tools in action, showcasing practical applications that enhance visibility into operational resilience and efficiency.
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Maximizing the safe use of AI for surveillance starts by fixing the recurring data problem that has and continues to plague surveillance. Learn how quality communication data, metadata, and context reduces FPs, drives efficiency, provides explainability, improves reconciliation, and unlocks AI assistance.
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- What are the greatest tensions between regulatory wishes and practical realities for firms’ management of risk across the 3 lines of defence?
- What tools can best help firms to make their risk management more effective?
- What opportunities are there for better collaboration across the 3 Lines of Defence?
- To what extent does having an effective risk culture help effect risk management? How does it practically impact risk management?
- Compared with today, in 5 years’ time what will be different in firms’ approaches to risk and control management?
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- How can the 1st line anticipate and identify emerging risks? What proactive measures should the 1st line implement to assess and mitigate potential risks?
- What role do the 1st line perform in enhancing cyber resilience against emerging threats and attacks?
- What measures should be taken within the 1st line to bolster resilience in the organisation's supply chain against potential disruptions?
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- How will voice transcription technology evolve in the next 3 years, and what impact will it have on the accuracy and efficiency of verbal communication monitoring within the banking sector?
- In what ways will AI and Natural Language Processing (NLP) contribute to the future of voice surveillance, particularly in analysing tone, sentiment, and context in spoken conversations?
- What advancements can we expect in real-time monitoring and automated alerts in the future of voice surveillance?
- How will voice surveillance systems integrate with other data sources to create a more comprehensive & contextual risk assessment?
- What ethical and regulatory considerations will banks need to address as voice surveillance becomes more sophisticated, regulatory attention ocuses on broader misconduct and the surveilled population increase, particularly in balancing the effectiveness of surveillance with the privacy and consent rights of individuals?
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- How are artificial intelligence (AI) technologies being applied to enhance surveillance programmes?
- What are the key benefits and challenges associated with integrating AI into existing surveillance frameworks to bolster the prevention and detection of market abuse?
- How might the adoption of AIdriven surveillance impact regulatory compliance, risk management, and operational efficiency within banking institutions?
- What best practices and ethical considerations should be assessed when deploying AI in surveillance programmes to ensure transparency, fairness, and accountability?
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Coffee & Networking in the Exhibition Area sponsored by OneTick
-
These Roundtable Discussions are carefully managed interactive discussions on specific topics. These sessions must be booked in advance.
A: Understanding Risk Appetite and Acceptance
B: Risk Assessments in the 1st Line
C: The Future of Controls
D: Harmonisation and Integration of NFR Frameworks
E: Ensuring Effective Calibration of Trade Surveillance
F: Future of Voice Surveillance Capabilities
G: Innovating and Ensuring Effective Communications Surveillance
H: Innovation in Conduct Surveillance and Monitoring Practices
I: Outstanding Challenges in Operational Resilience
J: Harnessing AI & Cutting-edge Technology for Enhanced Risk Detection
K: Culture & Conduct: Is there still a problem?
L: Ability to Reduce Low Value Activity across the 3LoD
M: Future-Proofing Internal Audit Teams
N: Effectively Managing Multiple Global Regulators
O: Opportunities for Better Partnership Across the 3 Lines of Defence
P: Optimising Risk Management and Controls Through Effective Data Management
Q: Horizon Scanning for Future and Emerging Risks
R: Proliferation of New Trading VenuesS: Surveillance Coverage of New and Emerging Risk Types
T: Regulatory Expectation for Integrating AI & ML into Surveillance Programs
U: Managing the Interconnectedness of Risks
V: Integrating ESG into Broader Risk Management Frameworks
W: The Future Practitioners of the 3 Lines of Defence
X: The Future of Digital Assets Risk & Technology
Y: Integrating Geopolitical Risk Management into Risk & Control Frameworks
Z: Understanding the Threat Posed by Cyber Attacks and the Response -
- Join us for an interactive panel discussion featuring Chief Technology Officers (CTOs) from leading financial institutions. In this live Q&A session, we'll discuss:
- How do you perceive the dynamic landscape of technology changing in the coming years, and what strategic approaches are you employing to stay ahead in this rapidly evolving environment?
- How can banks overcome the persistent challenge of poor data quality, ensuring that their risk and control frameworks are built on accurate, reliable, and standardised data?
- What emerging trends in technology are seen as potentially transformative for banks?
- What are the insights, experiences, and strategies banks have employed to drive innovation, enhance customer experiences, and effectively navigate the complexities of regulatory compliance?
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