Recorded Webinar: The evolution of market surveillance across sell-side and buy-side firms21 September 2021
Market surveillance is crucial, and in many cases a regulatory requirement, to ensuring orderly securities markets and sustaining confidence in trading. It can be breached and has become increasingly complex in the wake of the Covid pandemic, Brexit, and the emergence of new asset classes.
This webinar will review the extent of market abuse in capital markets, how it differs across the sell-side and buy-side, and the regulatory requirements with which firms must comply. It will also detail strategies for successful market surveillance, supporting technologies, tools and services, and how the discipline is likely to evolve over the next few years.
Listen to the webinar to find out:
- The extent of market abuse in capital markets
- Causes and challenges of market surveillance breaches
- The regulatory response and requirements
- How to develop efficient and effective strategies
- Helpful technologies, tools, solutions and services
- The ongoing evolution of market surveillance
More about our speakers:
Independent RegTech Advisor
Independent RegTech Advisor and Specialist in Compliance Change Programmes (Trade and Communication Surveillance)
David has spent nearly 4 decades working in financial services, covering Retail, Corporate and International banking, as well as Wealth and Asset Management, in both business and technology roles. He acts in an advisory capacity across the RegTech industry as an independent expert.
Managing Director, Head of Market Surveillance Regulatory Risk
formerly State Street
Howard Davis most recently served as Global Head of Market Surveillance. Howard has an international perspective with more than twenty years of experience in the financial services industry “With an impressive mix of industry experience, a deep knowledge of Exchanges, regulation, trading, and proven success in building global programs. Prior to State Street he held the position as Regional Head of Market Surveillance and Conduct at Bank of Tokyo-Mitsubishi., he held a position with the Commodity Futures Trading Commission- Division of Market Oversight in Washington DC. He also held senior executive positions as the Regional Senior Vice President of Euronext Americas-the pan-European Exchange. His prior appointments include Associate Director at NASDAQ and Compliance Examiner at FINRA. He has worked on a number of notable enforcement cases at both CFTC and FINRA, as well as aided the Department of Justice, testifying before the Grand Jury.
Travis Schwab is CEO of Austin-based Eventus Systems, Inc., a multi-award-winning global provider of trade surveillance and market risk solutions for financial institutions. For over 25 years, Travis has served in chief executive, compliance, sales and financial technology roles across the front, middle and back offices at a diverse set of organizations. Before founding Eventus, Travis was the CEO and Chief Compliance Officer (CCO) of RGM Securities, the broker-dealer subsidiary of one of the largest proprietary trading firms in the U.S. before its 2017 acquisition by DRW. Before RGM, he was Managing Director of Global Buyside Sales and CCO at Trading Technologies. Previously, Travis was Co-Head of North American eBrokerage Sales at Calyon Financial (currently Societe Generale). Earlier in his career, Travis had management roles at NYFIX, Inc. (currently Itiviti) and the Chicago Mercantile Exchange (now CME Group).
He earned a Bachelor of Business Administration degree in Finance from Loyola University in Chicago.
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.
Partner, Head of eComms Surveillance
Eddie Cogan is a partner in the regulatory technology team at ACA Group. In his role, Eddie oversees the product development and service of ACA’s eComms Surveillance Solutions. Eddie joined ACA through the acquisition of Catelas, an Integrated Surveillance & Investigation software platform, built by combining machine learning, behavioral analytics and Natural Language Processing (NLP).?Catelas’ patented technology allows it to automatically map how firms do business and then to measure the risk inherent in that –whether it be insider trading, market manipulation, FCPA/bribery, fraud or insider threat. Eddie was the founder and CEO of the firm. An Engineer by training, he has spent the last 20 years developing technologies that help financial services firms understand risk holistically. Mr. Cogan graduated from University College, Cork, Ireland with a degree in Electrical Engineering.
Interested in hosting your own webinar? Get in touch