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Market Abuse and Trade Surveillance

This course looks in detail at some recent surveillance case studies and investigates what happened, how it was detected, and the consequences. These case studies provide the motivation to understand methods of surveillance and the relevant regulations.

The first day of the program begins with a summary of different types of surveillance and outlines various forms of market manipulation. We then examine surveillance regulation with examples from recent years. Case studies look at examples of front-running and spoofing as well as attempted manipulation and an example that was ruled not to be market manipulation in court.

Day two examines methods of detecting all forms of market manipulation before a detailed discussion on benchmark manipulation. We finish with a look at more advanced forms of surveillance and conclude by describing several further examples of market abuse.

Recommend to a Colleague
  • Date:
  • 27th - 28th April 2020
  • Venue:
  • Manhattan - New York
  • Fee:
  • US$1695 per day

This course is also available in London and Singapore

Who The Course is For

  • Compliance teams
  • Internal audit
  • Legal teams
  • First line of defense
  • Risk managers
  • Traders and sales
  • Technology and data scientists

Learning Objectives

  • Gain familiarity with the various forms surveillance can take
  • Distinguish between different methods of market manipulation and market abuse
  • Learn how different regulators approach market manipulation and current regulatory requirements
  • Analyze market manipulation and regulatory enforcement through the lens of many real-world examples
  • Learn how different surveillance techniques are applied to structured and unstructured data
  • Look into more advanced surveillance techniques and discuss the future of surveillance

Prior Knowledge

A basic understanding of capital markets and securities trading.

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