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:
More about our speakers:
Darren Sirr
Global Head of Trade Surveillance
BNY
Darren joined BNY Mellon at the end of 2019 and runs the global 1LOD surveillance team. Before joining BNY Mellon, Darren worked at the Financial Conduct Authority as a Technical Specialist in the Market Surveillance Team, part of the Market Oversight and Enforcement Directorate. At the FCA, Darren was able to use his extensive trading knowledge and experience for the detection of market abuse in financial markets through the creation of in house alerts. In addition, Darren co-authored several publications, hosted forums for UK based banks and represented the FCA at international conferences.
Darren began his career on the LIFFE floor and worked as a market maker in equity and index derivatives. After leaving Barclays Capital in 1999, Darren worked at a UK hedge fund trading UK and Dutch securities until 2007 when he joined DRW Investments. At DRW, Darren helped to set up one of the largest flow trading desks covering UK and German equity and index derivatives. Darren also ran automated trading books at Liquid Trading, Blueprint Capital and Spinaris Capital covering FX and exchange traded commodity, fixed income and index products before moving in to surveillance.
Paul Cottee
Director, Financial Markets Compliance
NICE Actimize
Paul Cottee is a Director in the Product group at NICE. Paul worked in FICC front-office roles before becoming a compliance officer with a major UK asset manager, then regional head of surveillance for a major investment bank. He has been in the vendor space for over 8 years. He has worked in Sydney, London, Singapore and New York.
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