Upcoming Webinar: Detecting and preventing market abuse
25 March 2025
11:00am ET | 3:00pm London | 4:00pm CET
Duration: 50 Minutes
Market abuse – unlawful disclosure of inside information, insider trading, circular trading, “pump and dump” schemes, etc. – poses significant threats to the integrity of capital markets.
In 2024, global trading house Trafigura agreed to pay a $55 million fine to the U.S. Commodity Futures Trading Commission (CFTC) for trading with non-public information, manipulating a fuel oil benchmark, and obstructing whistleblower communications and JPMorgan Chase faced a $450 million settlement for data failure violations related to market manipulation.
As regulatory frameworks like the European Market Abuse Regulation (MAR) expand their scope to encompass new markets and behaviours, the imperative for financial institutions to detect and prevent such activities has never been more critical. In this evolving landscape, traditional surveillance methods often fall short, necessitating the adoption of advanced technologies, including generative AI (GenAI).
This webinar will examine the complexities of market abuse and demonstrate how the latest advanced technologies and best practices can augment your organisation’s defences against these threats.
By attending this webinar, you will:
- Gain a comprehensive understanding of various forms of market abuse and their implications on capital markets.
- Explore the latest regulatory developments and their impact on compliance strategies.
- Discover how advanced analytics and machine learning can enhance detection capabilities.
- Learn best practices for implementing effective surveillance systems to monitor communications and trading activities.
- Understand the role of integrated case management in streamlining investigations and ensuring regulatory compliance.
Don’t miss this opportunity to equip yourself with the knowledge and tools necessary to safeguard your organisation against market abuse and regulatory risk. Register now to secure your spot.
Speakers:
More about our speakers:
Jason Shiu
Compliance Manager
Vanguard Asset Management Ltd
Jason Shiu is a Compliance Manager (Market Surveillance & Monitoring) at Vanguard Asset Management. He has multiple years of experience working in various aspects of surveillance using a range of platforms and monitoring tools within the trade surveillance to the e-communications space. Prior to Vanguard, Jason worked as a Senior Compliance Officer at GAM Investments and before that worked at Eaton Vance Investment Management. He has completed a Legal Practice Course with an MSc in Law, Business and Management from the University of Law and graduated with a LLB Law degree from the University of Birmingham.
Paul Cottee
Director, Subject Matter Expert, Compliance
NICE Actimize
Paul Cottee joined NICE in April 2020 and is based in Hoboken, providing subject-matter expertise for OTC asset classes. Previous roles include Product Management at Nasdaq; Director, Financial Markets Compliance and Surveillance with global financial institutions in New York, Singapore and London; Associate Director, Rates Research for a major bank in London; Bloomberg EMEA SME for FICC; and Senior Futures Advisor and FX Dealer in Sydney. Paul holds a BA in Government and Economics from the University of Sydney and an LL.M in Banking and Admiralty Law from London Metropolitan University.
Dermot Harriss
Senior Vice President – Regulatory Solutions
OneTick
Dermot Harriss joined OneMarketData in 2015, and is responsible for delivering solutions that help firms meet their regulatory compliance needs. Dermot brings over twenty years of financial industry experience from roles at Goldman Sachs, Morgan Stanley, and D.E. Shaw that included futures trading, quantitative strategy development, derivatives risk management, program trading, execution services, and technology management. As a strategist and trader at Goldman Sachs, Dermot was responsible for the Quantitative Trading Group’s high-frequency market-making platform, and for the development of a fully automated ‘blind bid’ principal risk pricing system. Dermot held earlier roles as Director of Hosted Services at UUNET, head of the computing group at the European Bioinformatics Institute (EMBL EBI), and a participant in the Human Genome Project.
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