About the Webinar

Effective trade surveillance programs in finance involve a combination of technology, processes and people.

Technology, such as automated surveillance systems, can quickly detect certain types of suspicious activity. However, the quality of the data and the sophistication of the algorithms used to detect the activity are just as important in creating alert effectiveness. From ensuring that quality data is collected and analyzed properly to implementing appropriate actions to be taken in response to alerts, are also key components of a successful system. The recent guidance from FINRA on basic surveillance practices has set out a framework that can help to ensure the effectiveness of a firm’s surveillance program.

We will examine:

• What are the key components of a trade surveillance system to make it effective
• Identify pitfalls, risks, and challenges to avoid when designing a surveillance system
• Examine the latest regulatory requirements for trade surveillance and how firms should regularly evaluate their program to ensure that it is effectively detecting
• Remediating any violations of FINRA rile or regulations
• How can firms utilize technology and technological tolls available to enhance surveillance processes
• Assess best practices for maximizing surveillance efficiency and how to implement a successful trade surveillance system

Speakers

Tony Sio

Head of Regulation and Innovation – Nasdaq

Philip Mackenzie

Research Principal - Chartis Research

Colin Telmer

Managing Director, Global Head of Trade Surveillance - Scotiabank

Chris Whittaker

Financial Services Regulatory Senior Associate - Herbert Smith Freehills