Print This Event Print This Event

    Exploring the Art of the Possible – Trade Surveillance for Capital Markets

    The Canadian Regulatory Technology Association is organizing a fascinating event to discuss with the leading industry professionals some common challenges, best practices and opportunities such as:
    • As trading volumes continue to increase, how can technology be effectively leveraged to reduce manual effort?
    • When developing an oversight program, how best to balance global vs. local obligations
    • Oversight technology – best of breed per asset class or oversight for all?
    • AML and Market Abuse Surveillance – should you combine? Can you combine?
    • Can data be ‘multi-purpose’ – i.e. used for trade surveillance AND business development AND client retention strategies?


    • Jason Le – AVP Compliance, Head of Global Surveillance – TD Wholesale Banking
    • Loren Schwartz – Head of Regulatory Reporting Services – CIBC
    • Alex Taylor – VP Market Surveillance – IIROC

    Event Details:

    ? Thursday, 16 January 2020 ⏰ 8:30am – 11:00am ? Deloitte – 8 Adelaide St. W ? Registration: ? Fee: Regulator price $45 (TCAE Group Members can get an exclusive discount of 25%)

    The event is finished.


    Sep 25 2021


    8:30 am - 11:00 am