Upcoming Webinar: Detecting and Preventing Market Abuse


In an era of record-breaking fines and global regulators relentlessly expanding their oversight, preventing market abuse has become a major compliance challenge for financial institutions. In 2024 alone, we witnessed a major trading house settle for $55 million for improper handling of inside information and manipulative trading practices, while a global banking giant faced a $450 million settlement for data failure violations tied to market manipulation. These high-profile cases show exactly what’s at stake for institutions that fail to detect and prevent market abuse—and why proactive compliance strategies are indispensable. 

Join RegTech Insight and a panel of industry experts for the A-Team Group hosted webinar, Detecting and Preventing Market Abuse. Gain first-hand insights into the evolving market abuse landscape and learn about the cutting-edge tools and practices designed to safeguard your organization. Our expert panel brings decades of experience in compliance, operational risk, and innovative surveillance methods to the table, ensuring a practical, solutions-focused discussion. 

Why Market Abuse Prevention is More Urgent Than Ever 

Market abuse—ranging from unlawful disclosure of insider information to “ramp and dump” schemes—poses a fundamental threat to market integrity and investor trust. As regulators roll out new mandates under frameworks like the European Market Abuse Regulation (MAR), the scope of these rules now extends to novel asset classes and emerging behaviours. Firms that remain reliant on outdated surveillance systems run the risk of missing critical red flags, exposing themselves to both financial penalties and reputational damage. 

Traditional surveillance methods often struggle to keep up with the rapid evolution of trading strategies and communication channels. From complex multi-asset trades to encrypted messaging apps, modern market abuse threats are diverse and sophisticated. Our panel will dive into how advanced analytics, machine learning, and generative AI (GenAI) are reshaping the detection and prevention landscape. Learn how these tools go beyond rule-based triggers to dynamic monitoring, spotting anomalies that might otherwise slip through the cracks. 

Gain a comprehensive understanding of different forms of market abuse. From insider trading to circular trading and benchmark manipulation, we’ll explore the subtleties of each type of misconduct and the broader impact on market confidence. 

Explore the latest regulatory developments and their impact. Hear how evolving regulations are sharpening the focus on new behaviours and discover the practical strategies firms can employ to stay ahead of the curve. 

Discover how advanced analytics and machine learning can enhance detection. Get an inside look at how ML-driven technology and GenAI solutions can sift through vast volumes of data to flag suspicious activity in real time. 

Learn best practices for implementing effective surveillance systems. From monitoring communications to analysing trading patterns, we’ll share insights on setting up robust systems that capture, analyse, and react to potential abuse scenarios. 

Understand the role of integrated case management. A streamlined investigations framework is vital for ensuring compliance. Find out how integrated case management solutions help you collect evidence, track processes, and demonstrate adherence to regulatory requirements. 

Meet Our Expert Panel: 

George Stein, Director, Global Compliance & Operational Risk at Bank of America. Bringing extensive experience in Futures and Options trading and market-making, George heads market abuse and surveillance initiatives at Bank of America. His unique blend of hands-on trading knowledge and regulatory insights offers an invaluable perspective. 

Jason Shiu, Compliance Manager at Vanguard Asset Management Ltd. Specializing in market surveillance and monitoring, Jason has spearheaded compliance programs using a variety of platforms and tools. His background spans senior compliance roles at GAM Investments and Eaton Vance, with deep expertise in trade and e-communications oversight. 

Paul Cottee, Director, Subject Matter Expert, Compliance at NICE Actimize. With a background that includes Product Management at Nasdaq and senior compliance roles in New York, Singapore, and London, Paul provides a global viewpoint on the complexities of managing OTC asset classes and ensuring compliance across diverse markets. 

Dermot Harriss, Senior Vice President – Regulatory Solutions at OneTick. Dermot’s two decades of financial industry experience range from high-frequency market-making at Goldman Sachs to roles in quantitative strategy and technology management. 

Don’t miss this chance to learn how leading firms are addressing market abuse head-on. Register now to secure your spot in this timely and practical webinar. 

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