On-Demand Webinar:

Getting Ahead of Market Abuse:
Surveillance and Monitoring Practices in the Digital Age

Digital channels have become the predominant methods of communications in business, forcing regulators and financial intermediaries to raise the bar when it comes to monitoring and surveillance and to prevent abuse in financial and capital markets.

In this panel, we discussed regulatory expectations on the use of digital communications channels in financial markets, how record-keeping requirements are applied in APAC, and the challenges these requirements present to firms – especially in the global context where surveillance tasks across venues and markets are growing in complexity.

Other key themes discussed:

• Off channel communications and their impact on market abuse
• US enforcements for record-keeping failures and lessons for APAC
• APAC regulatory expectations on record-keeping and off-channel communications
• Practices for monitoring communications on messaging platforms
• The role of AI in enhancing market abuse detection

Presenters

Manesh Samtani (Moderator) Editor Regulation Asia	Hwee Khoon Goh Head of Communications Surveillance, APAC UBS
Paul Cottee Director, Financial Markets Compliance NICE Actimize	Rajeev Hegde Product Manager, Surveillance NICE Actimize