Presenting Speakers
About the Session
As we look ahead to 2026, the pressure is mounting on financial institutions to redefine how they monitor, manage, and prove holistic AML and Surveillance conduct controls.
With enforcement actions escalating this panel will explore how firms are preparing for a new era of oversight, where communications surveillance must span dynamic work environments, encrypted messaging platforms, and increasingly sophisticated trade behaviors. Panellists will unpack how standardised business events, integrated risk models, and AI-powered surveillance can help detect misconduct across fragmented data and communication channels — without compromising AML, privacy or ethical standards.
From real-time detection to proactive prevention, and from regulatory readiness to reputational resilience, this session will navigate the path for “effective AML and market abuse surveillance” in a digitally complex, AI-regulated world — and are firms ready to meet that benchmark?
Regulatory Challenges
- FCA Market watch 76 – flying and printing here
- Dear CEO letter for principal trading firms – Algo trading here
- FCA 05/22 Market Watch 69 – Observations on market abuse surveillance here
- SEC $80m hacking and trading scheme fine here
- Electronic communications surveillance fines summarised here
- FCA £13.6m fine of Citigroup for failed trade surveillance requirements here
- Economic Crime (Transparency and Enforcement) Act 2022 here
- Conduct, culture, AI and data policy
New RegTech/SupTech drivers
- Q323 analysis – Regulatory Surveillance: Which camp are you in? here
- Q323 analysis – RegTech Surveillance: breaking silos with digital models here
- Q223 Analysis – Defining ‘Good Communications surveillance’ here
- TR analysis – FCA seeks tech boost for market surveillance here
- analysis – Getting in Front of New 2023 Surveillance AI Controls here
- analysis – Market Watch 69 & Surveillance RegTech here