Welcome Address Regulatory Keynote Interview and Debate: Managing the Scope and Complexity of Communication Surveillance
Live
2025-04-01 | 01:00 PM - 02:10 PM (GMT+00:00) London
Information
Regulatory Keynote Interview: Lindsay Moilanen, Assistant Director, Enforcement, U.S. Securities and Exchange Commission (SEC)
Debate: Managing the Scope and Complexity of Communication Surveillance
- 2024 saw a focus on trade surveillance and surveillance data – are current practices in 2025 sufficient to satisfy regulatory expectations around evidencing adherence to policies and procedures?
- What challenges arise from the proliferation of communication channels in surveillance efforts?
- How should banks decide which new and emerging channels to prioritise for surveillance?
- What are the implications of adopting a risk-based approach to manage coverage and alert volumes?
- How can banks balance regulatory compliance with risk-based decisions for in-scope populations and channels?
Speakers
Roger Noon
1LoD
Senior Moderator
Paul Clulow-Phillips
BNP Paribas
Managing Director, Global Head of Market Abuse Surveillance
Stephen Ditaranto
RBC Capital Markets
Managing Director Global Head of Capital Markets Surveillance
Rob Mason
Global Relay
Director, Regulatory Intelligence
Michael Mooney
State Street
Head of Communication Surveillance
Exhibitors
