Since the financial crisis, one of the many efforts by regulators to improve market transparency and investor confidence has been to improve trade surveillance. As a result, regulators have set new expectations for proactive trade surveillance among key participants of the financial markets for both buy- and sell-side firms. Yet lack of effective tools across all asset classes, ineffectual alerts and the challenge of aggregating data from multiple sources creates several challenges.

Register here

This event brings together leading professionals to discuss common challenges, best practices and opportunities such as:

  • As trading volumes continue to increase, how can technology be effectively leveraged to reduce manual effort?
  • When developing an oversight program, how best to balance global vs. local obligations
  • Oversight technology – best of breed per asset class or oversight for all?
  • AML and Market Abuse surveillance – should you combine? Can you combine?
  • Can data be ‘multi-purpose’ – i.e. used for trade surveillance AND business development AND client retention strategies?

Panel will be moderated by: Sandra Persaud, Risk Advisory, Deloitte – Strategic Advisor, CRTA


Jason Le – AVP Compliance, Head of Global Surveillance – TD Wholesale Banking

Loren Schwartz – Head of Regulatory Reporting Services – CIBC

Alex Taylor – VP Market Surveillance – IIROC

Case Studies – TBC

Event Details

Date:  January 16, 2020

Time: 8:30-11

Location: 8 Adelaide St. W

Kindly Sponsored by: