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2nd Annual Trade Surveillance and Compliance Monitoring

Developing intelligent systems and controls in an environment coming to terms with high frequency and high volume trading

15-17 April 2013
The Grosvenor Hotel London, United Kingdom

Conference Workshop

Burgundy AB tackle challenges surrounding developing an appropriate surveillance system

Erste Group assess best practice in desk reviews

Workshop Moderator: ConocoPhillips provide their insight into the ingredients required for a successful monitoring and surveillance team

Company: Morgan Stanley delve into the practicalities of building a surveillance team within a compliance department

Why You Should Attend

2nd Annual Trade Surveillance and Compliance Monitoring

Highly automated trading alongside high-profile cases of market abuse have brought trade surveillance and compliance monitorin

Highly automated trading alongside high-profile cases of market abuse have brought trade surveillance and compliance monitoring under the regulatory and public spotlight; it is essential that compliance maintain procedures that tackle high frequency and high volume trading loopholes. As regulators assess rules surrounding necessary compliance, there is also the need to go beyond the surveillance of vanilla products into cross-asset surveillance. In order to achieve this level of insight into the nature of different products and to develop system sophistication parallel to that of automated trading, it is essential to establish a holistic approach to surveillance and monitoring, in terms of data networks between departments as well as cross-border surveillance.


This marcus evans conference provides practical advice on key trade surveillance and compliance monitoring challenges such as algo-governance, system implementation and maintenance and cross-asset surveillance. The agenda includes in-depth case-studies held by speakers from leading firms, regulators and associations.


Key Topics

  • Hear how the ESMA guidelines have been practically implemented
  • What is best practice in monitoring HFT and algo trading?
  • Discover how and when should desk reviews be performed?
  • Attain intelligent surveillance systems that can manage higher volumes of trades and higher volumes of data
  • Learn about best practice on complex products such as derivatives and structured products
  • Previous Attendees Include

    From Banks, Commodity Trading Firms, Asset Managers, Brokers and Exchanges:
    • Head of Trade Surveillance
    • Head of Trade Monitoring
    • Head of Trade Control
    • Head of Compliance
    • Head of Compliance Monitoring

    Why Choose marcus evans?

    marcus evans specialises in the research and development of strategic events for senior business executives. From our international network of 63 offices, marcus evans produces over 1000 event days a year on strategic issues in corporate finance, telecommunications, technology, health, transportation, capital markets, human resources and business improvement.

    Above all, marcus evans provides clients with business information and knowledge which enables them to sustain a valuable competitive advantage and makes a positive contribution to their success.

    Event Sponsors
    Gold Sponsor
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    Event Partners

    Practical Insights From

    Peter Nylén
    Head of Market Surveillance
    Burgundy AB

    Catherine Gardiner
    Head of Compliance and Monitoring, Risk Management
    UBS Wealth Management

    John Doran
    Director, Global Trade Monitoring and Surveillance

    Mark Goulden
    Managing Director, Global Head of Compliance – Equities
    J.P. Morgan

    David Percival
    Executive Director, EMEA Head of Regulatory Monitoring, Enquiries and Reporting
    Morgan Stanley

    Roberto Galbiati
    Head of Finance and Capital Markets Compliance
    Intesa Sanpaolo

    Peter Simai
    Head of Compliance
    ConvergEX Ltd

    Werner Schorn
    Head of Group Securities Compliance
    Erste Group Bank AG

    Click Here For Full Agenda

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    Event Contact

    For all enquiries regarding speaking, sponsoring and attending this conference contact:

    Veronika Sapronova

    101 Finsbury Pavement
    EC2A 1ER

    +44 (0)20 3002 3435
    Fax: +44 (0)20 3002 3016