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