Connecting the Dots:

The Role of Trade Surveillance in Driving Operational Resilience


From Hong Kong, Singapore, and Australia across to Basel, regulators are increasingly pushing both the buy and sell-side alike to implement a range of operational resilience best practices to enhance market integrity and preserve financial system stability.

This refocus promises to force new rules and compliance requirements upon firms, thrusting operational resilience front-and-centre. However, it is increasingly clear that this is not just a matter of regulatory compliance. When implemented correctly, measures to ensure operational resilience will create new opportunities for trading teams to improve their agility and deliver greater value to customers and other stakeholders.

In this webinar, our panel of experts redraws the lines between operational resilience and trade surveillance, underlining the need for interoperability, appropriate controls, and a modernised approach to the use of data and analytics that can adapt to changes in the market environment and manage a remote workforce.

Key themes:

  • Defining risk and regulatory expectations on ensuring operational resiliency and upholding market integrity
  • Expectations on ESG and anti-greenwashing rules and their impact on the surveillance function
  • Market abuse trends and scenarios, and how firms are managing conduct risk through surveillance
  • Surveillance programme modernisation through the cloud and model customisation


This webinar took place on 18 May 2022.

Registration no longer available.

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For enquiries please email us here.


Paul Cottee
Director, Global Markets Compliance Advisory
NICE Actimize

Ashok John
Managing Director, Head of Surveillance Asia, Head of Equities Compliance Asia
J.P. Morgan

Rushabh Mehta
Partner, Financial Services Advisory
EY Hong Kong

Brad Maclean
Regulation Asia

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