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Maximizing Control Effectiveness: Identifying and Overcoming Gaps in Compliance Surveillance

Failure to properly monitor core elements of compliance including employee behavior, trading activity and the transactions of the firm opens the door to market manipulation and market abuse. And the regulators are certainly watching for lapses, as highlighted by significant recent enforcement actions and penalties.

What can firms to do ensure that their surveillance activities are effectively identifying and mitigating the risk of illicit and non-compliant behavior?

Join MCO and Ankur Mehta from ComplyLens for a practical and interactive session on maximizing the effectiveness of your surveillance controls. We’ll cover:

  • Importance of surveillance risk assessment
  • Common issues during surveillance system implementations and how to overcome them
  • Implementing effective governance and data assurance controls
  • Alert effectiveness checks and calibration
  • Emerging trends and practical industry use cases

We’ll have plenty of time for Q&A, so please let us know if you have any questions for Ankur when you register.

Date : June 25, 2024

Time : 10 AM EDT / 3PM BST

Register Now

WEBINAR PRESENTER

A veteran advisor to global banks as well as other financial institutions, Ankur has over 20 years of experience helping firms implement technology controls for Surveillance and Monitoring.

Ankur specialises in controls for Trade Surveillance, Communication Surveillance and Record Keeping, AML Transaction Monitoring as well as Sanctions Screening.

Ankur Mehta
Partner