The practical challenges of multi-asset trade & communications surveillance in light of the Market Abuse Regulation
The role of compliance and control teams at investment management firms has never been harder; with the Market Abuse Regulation showing no sign of abating, the emergence of new technologies and the exponential growth in data.
The purpose of this webinar is to give an overview of the key challenges and practical solutions facing the buy side with regards to their surveillance process – starting at 30,000ft and looking at the regulatory environment, all the way down to answering questions around how to build a connected surveillance program for equity, fixed income and multi-asset strategies.
Over the course of the 30 minute webinar, we will cover:
o Overview of the key regulatory (focus on MAR) and market drivers impacting surveillance programs
- UK, European & US regulatory regimes
- Equity versus fixed income
- Impact of new technologies – AI & Machine learning
o Case study: Practical considerations for surveillance, looking at parameters such as:
- Data (investment & market), rule definition, tuning/back testing, alerting, case building and resolution
o The critical role of communications surveillance
o Summary
o Q&A
This webinar is relevant for compliance and control professionals at asset management firms responsible for surveillance programs.
