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Global Financial Markets Intelligence

Global Financial Markets Intelligence

Trade Surveillance and Monitoring

Establishing Best Practice for Surveillance and Monitoring Techniques in a Global Marketplace Across Multiple Asset Classes

24-25 Oct 2012
New York, NY - Venue to be Confirmed, United States of America

Conference Workshop

Workshop Title: Half-Day Interactive Post-Conference Workshop on April 12, 2013: Dealing With the Challenges of HFT Trade Surveillance: A Practical Approach Led by Tom Lord, Founder at PDF Commodities

Workshop Moderator:

Why You Should Attend

Trade Surveillance and Monitoring

Insider trading is a problem that appears to be epidemic in the capital markets currently. The incoming Dodd Frank regulation is changing the face of the industry and its implications for trade will have a direct impact on trade surveillance and monitoring. From a trade surveillance perspective, high frequency trading (HFT) and algo trading are causing the biggest concerns in the market at the moment. Institutions need to understand how to keep up to speed within the regulations and where the investments need to be made.

The GFMI Trade Surveillance and Monitoring Conference will focus on the surveillance and monitoring systems that should be embedded to ensure the industry is complaint with the incoming Dodd Frank and SEC regulations. Attendees will have the opportunity to benchmark with leading banks and asset management companies and learn the progress that is being made within the cross-product surveillance space.

By Attending This Event You Will:

1. Understand how to overcome the challenges of market fragmentation across diverse trading venues and cross-border trade
2. Discover how to optimize the trade surveillance function through systems and organizational structure
3. Identify strategies, as well as utilize systems to manage and monitor high frequency trading
4. Monitor multiple asset classes, in particular non-transparent products, in an increasingly global trading environment
5. Learn the developments in trading, especially those that are linked to algo and high frequency trading

With a one-track focus, the Trade Surveillance and Monitoring Conference is a highly intensive, content-driven event that includes case studies, presentations and panel discussions over two full days. This conference targets senior-level executives in order to provide an intimate atmosphere for both the delegates and speakers.

Key Topics

  • Understand how to comply with the incoming Dodd Frank and SEC regulation
  • Consider how to overcome the challenges of market fragmentation and cross-border trading
  • Learn how to optimize the trade surveillance function through systems and organizational structure
  • Gain an insight into the perspective of key industry players and the changes that are taking place in the market
  • Identify strategies to manage and monitor high speed trading
  • Previous Attendees Include

    From banks and asset managers:
    Heads of:
    • Trade Surveillance/Monitoring/Reporting
    • Compliance
    • Control Room
    • Market Regulation/Conduct
    • Trade Support
    • Operational Risk

    Why Choose GFMI marcus evans?

    marcus evans specialises in the research and development of strategic events for senior business executives. From our international network of 63 offices, marcus evans produces over 1000 event days a year on strategic issues in corporate finance, telecommunications, technology, health, transportation, capital markets, human resources and business improvement.

    Above all, marcus evans provides clients with business information and knowledge which enables them to sustain a valuable competitive advantage and makes a positive contribution to their success.

    Event Partners

    Practical Insights From

    Kelly Funderburk
    Director, Commodities Counsel
    Merrill Lynch Commodities, Inc. (awaiting final confirmation)

    Carol Clark
    Senior Policy Specialist
    Federal Reserve Bank of Chicago

    Jeannine Holloway
    Executive Director, Control Room, Head
    JP Morgan

    Wendy Rudd
    SVP, Market Regulation and Policy
    Investment Industry Regulatory Organization of Canada (IIROC)

    Irene Winel
    Chief Compliance Officer, Canada
    Bank of America Merrill Lynch

    Eileen Isola
    Director, Head of US Control Room, Registrations and IB Coverage Advisory
    BNP Paribas

    Jerry Jeske
    Group Chief Compliance Officer
    Mercuria Energy Trading

    Scott Earnest
    Monitoring & Trade Surveillance Lead
    Shell Trading North America

    Click Here For Full Agenda

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    Event Contact

    For all enquiries regarding speaking, sponsoring and attending this conference contact:

    Tyler Kelch - GFMI

    455 N. Cityfront Plaza Dr.
    9th Floor
    Chicago, IL 60611

    Fax: 312-894-6304
    Email: Tylerke@global-fmi.com