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.

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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

Speakers:

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: 

DELOITTE