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effective trade surveillance

How to ensure effective trade surveillance

  • by EB 11 Feb, 2020
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Form webinar
Evaluation none
Duration 58 minutes
Language English
Certificate not available
Participation free of charge, registration required

A-Team Group free webinar entitled How to ensure effective trade surveillance to meet the demands of regulatory scrutiny and compliance. Accurate, scalable and defensible trade surveillance is key to compliance with regulations such as Market Abuse Regulation (MAR). But how best can it be achieved, what types of technologies are effective, how can false positives be reduced, and where should responsibility lie for tuning alerts and setting surveillance parameters?

When it comes to trade surveillance, regulators want firms to do their own alert calibration, examine all alerts, and keep auditable records. Firms need to balance the real cost of false positives with the technical challenge and risk of self-calibrating and auto-calibrating, while compliance, IT and vendors have to grapple with the need for defensible and transparent audit, which challenges dynamic parameters.

This webinar will consider the impact of recent regulatory statements describing increasing concerns about how trading organisations are managing surveillance and setting parameters. It will also look at the role of technology in trade surveillance and, particularly, whether artificial intelligence and machine learning techniques are a help or hindrance. Finally, it will set out how best you can achieve accurate, scalable and defensible trade surveillance for MAR, while reducing false positives and increasing confidence in compliance.

Learning Objectives:
1) Regulatory concerns around trade surveillance,
2) How trading organisations can respond to these concerns?
3) Technology challenges of trade surveillance,
4) How to build accurate, scalable and defensible surveillance?
5) The benefits of best practice trade surveillance.


Register for the webinar „How to ensure effective trade surveillance”

Watch also the webinar Are You Ready for MiFID II?

Source:
Justin Nathan, Credit Suisse, Dermot Harriss, OneMarketData and Sarah Underwood, A-Team Group, How to ensure effective trade surveillance to meet the demands of regulatory scrutiny and compliance (30.01.2020)

Image by Pierre Dietz from Pixabay

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