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Join the Trade Surveillance Deep Dive & Annual Report

Trade surveillance has entered a new era of expectation and complexity, as financial institutions adapt to evolving regulatory scrutiny, AI innovations, and data fragmentation across markets. This Deep Dive will explore the benchmarks of success for surveillance functions in 2025, with senior practitioners taking part in debates and interactive roundtables examining model governance, data architecture, and AI integration.

Register

Agenda

What to Expect

Gain insight into how leading banks are redefining success in trade surveillance and overcoming legacy barriers to innovation
Explore what a truly holistic surveillance function looks like and whether combining comms and trade surveillance is achievable
Understand the evolving expectations around model risk management and how they influence governance, skills, and vendor strategies
Participate in focused roundtable discussions on topics such as false positives, market abuse detection, and behavioural insight
Benchmark trade surveillance capabilities with peers from global institutions
Hear from industry regulators

Debates

Sessions where four or five Managing Director-level practitioners discuss and debate a particular topic or issue. Panel debates are a great way to explore complex topics and get multiple perspectives on a subject.

The New Benchmarks of Trade Surveillance Success
AI in Trade Surveillance: Innovations and Expectations
Making Model Risk Management Future-Proof
The Data-Venue Disconnect: Overcoming Fragmentation to Unlock Smarter Surveillance

Roundtable Discussions

Private, off the record roundtables are moderated by leading practitioners in the field of culture and conduct and are designed to promote dialogue and collaboration among the attendees.

When Every Ping Isn’t a Problem: Tackling False Positives
Cross-Market Surveillance in a Fragmented Global Landscape
Under the Radar: Closing Gaps in Market Abuse Detection
Embedding Behavioural Insight into Trade Surveillance

TRADE SURVEILLANCE DEEP DIVE 2024: ANNUAL REPORT

Surveillance functions struggle to keep up with fast evolving markets, technology changes, and complex infrastructure, which make data tracking and regulatory compliance more difficult.

Read the full Report

Who Should Attend

Managing Directors, Directors, and Head of Functions from Banks, Asset Managers and other Financial Institutions working within:

Surveillance / Compliance Surveillance / Compliance / Regulatory Compliance / Surveillance Monitoring / Compliance Technology / Market Surveillance / Communications Surveillance / Trade Surveillance / Internal Audit

Networking

Deep Dives offer virtual interaction through an intra-delegate messaging system, opportunities to pose questions to speakers in real time, and interactive roundtable discussions.

Chatham House Rule applies, creating a safe environment for a free discussion and no press attend.

Annual Report

Deep Dives are 1LoD's annual update on a non-financial risk function or topic. Content is presented in a 6- or 8-page report which summarises 4 hours of debate between 16 practitioners at Managing Director level who are leaders for their functions, often joined by the relevant regulators

Roundtables

Private, off the record roundtables are moderated by 1LoD, and attended by delegates from financial institutions who have booked their place in advance. They take place on Zoom. Delegates are sent discussion topics, and an overall structure of the debate in advance to assist the flow of the discussion.