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Regulatory Keynote Address & Debate: Proving Trade Surveillance Effectiveness in a Modern Environment

Live

2026-10-06 | 01:00 PM - 02:15 PM

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· To what extent has the enforcement focus shifted from underlying market abuse cases towards surveillance failings and control weaknesses?

· What evidence do regulators now expect firms to produce to demonstrate surveillance effectiveness and fit-for-purpose models, beyond simply evidencing coverage?

· How is the Market Abuse Risk Assessment (MARA) evolving from a static risk matrix into a dynamic, front-office-owned process? What does this mean in practice?

· How central is data completeness and quality to demonstrating surveillance effectiveness, and where are firms still finding the biggest gaps?

· Beyond regulators, how are firms evidencing effectiveness and ROI internally to perspective of surveillance as a cost centre to commercial enabler?