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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 Apr 2013
The Grosvenor Hotel London, United Kingdom
- Key Topics
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- 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
- Key Features
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- Burgundy AB tackle challenges surrounding developing an appropriate surveillance system
- Erste Group assess best practice in desk reviews
- ConocoPhillips provide their insight into the ingredients required for a successful monitoring and surveillance team
- Morgan Stanley delve into the practicalities of building a surveillance team within a compliance department
- Event Focus
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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.