Upcoming Webinar: Holistic Conduct & Surveillance: Unifying Trade, Voice, and eComms Data with AI

Date: 13 May 2026
Time: 10:00am ET / 3:00pm London / 4:00pm CET
Duration: 50 minutes

Surveillance in capital markets has evolved in silos. Trade surveillance, voice recording, and electronic communications monitoring have traditionally operated as parallel control functions, each with distinct datasets, workflows and alerting logic. Yet recent enforcement actions on both sides of the Atlantic – ranging from off-channel communications failures to market manipulation cases – demonstrate a consistent theme: regulators increasingly assess conduct holistically. They expect firms to connect intent, behaviour and execution across orders, conversations and post-trade activity.

At the same time, surveillance volumes are expanding. Multilingual eComms, hybrid working models, voice over IP, collaboration platforms and embedded messaging within trading tools have created a complex evidentiary landscape. Conventional lexicon-based monitoring and rule-driven trade alerts struggle to surface context, while fragmented case management slows investigations and obscures patterns. The result is alert fatigue, inconsistent risk prioritisation and growing pressure from legal, compliance and internal audit to evidence defensible, end-to-end oversight.

This webinar brings together senior RegTech executives and compliance practitioners to examine how firms can move from fragmented monitoring to an integrated conduct surveillance framework. We will explore how AI can augment – not replace – human judgement, how to align surveillance with evolving regulatory expectations, and how to build an architecture that supports defensible investigations in an era of heightened accountability.

By attending this webinar, you will:

• Understand regulatory expectations for integrated trade and communications surveillance across market abuse, conduct risk and record-keeping regimes.
• Learn how to correlate trade, voice and eComms data to surface behavioural risk and intent, not just isolated anomalies.
• Explore how AI, NLP and LLMs can reduce alert noise while improving explainability and auditability.
• Identify architectural and governance models that support cross-functional alignment between compliance, legal, surveillance and internal audit.
• Assess practical approaches to data privacy, model validation and regulator-ready AI deployment.
• Discover case management and workflow strategies that accelerate investigations and strengthen evidentiary defensibility.

Speakers:

Moderator: Adrian Sharp Editor, RegTech Insight

A-Team Group

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