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The knowledge platform for the financial technology industry

A-Team Insight Webinars

Recorded Webinar: High noon for surveillance: resolving tension between the costs of false positives, challenges of calibration, and compliance

30 January 2020

When it comes to trade surveillance, regulators want firms to do their own alert calibration, examine all alerts, and keep auditable records. Firms need to balance the real cost of false positives with the technical challenge and risk of self-calibrating and auto-calibrating, while compliance, IT and vendors have to grapple with the need for defensible and transparent audit, which challenges dynamic parameters.

The webinar will review recent regulatory statements noting concerns about how trading organisations are setting parameters and managing surveillance. Moving on, it will discuss approaches and technologies that can mitigate these concerns, and question whether advanced approaches such as machine learning are a help or hindrance. Finally, it will set out practical plans for achieving successful surveillance for Market Abuse Regulation (MAR).

Listen to the webinar to find out about:

  • Regulatory concerns around trade surveillance
  • Where responsibility should lie for tuning alerts and setting surveillance parameters
  • How to minimise alerts so that all can be reviewed, yet real problems are not hidden
  • Surveillance audit requirements firms should be concerned about
  • Technology approaches to resolving these concerns
  • How to build accurate, scalable and defensible surveillance
  • The benefits of best practice trade surveillance


Justin Nathan, Chief Technical Surveillance Officer, Credit Suisse

Anish Kalraiya, Director of Surveillance, Credit Agricole CIB

Dermot Harriss, Senior Vice President – Regulatory Solutions, OneMarketData

Moderator: Sarah Underwood, Editor,
A-Team Group

More about our Speakers:

Justin Nathan
Chief Technical Surveillance Officer
Credit Suisse

Over the past 20 years, Justin has been learning about Market Abuse and trying out different approaches to understand the most effective ways to capture it. He views surveillance as ‘other side’ of trading and is driven to outsmart those who are coming up with increasingly sophisticated ways of abusing and manipulating markets. Whilst the surveillance challenges faced by markets and participants differ, the psychology and philosophy he has developed during his career unifies them all.

Anish Kalraiya
Director of Surveillance
Credit Agricole CIB

Anish Kalraiya who currently works at Credit Agricole as the Deputy Head of London Surveillance. Former places of work include Deutsche Bank and Standard Chartered Bank. He has a varied career background which includes Front Office Operational Risk and being part of the FX Forwards trading desk at Stanchart. Past work experiences have helped mould his Compliance career. His most recent endeavours include managing a small team and focusing on market abuse surveillance across both Trade and E-Communication.

Dermot Harriss
Senior Vice President – Regulatory Solutions

Dermot Harriss joined OneMarketData in 2015, and is responsible for delivering solutions that help firms meet their regulatory compliance needs. Mr. Harriss brings over twenty years of financial industry experience from roles involving futures trading, quantitative strategy development, derivatives risk management, program trading, execution services, and technology management.



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