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Market Abuse and Trade Surveillance

This course provides a detailed overview of the emerging field of Trade Surveillance. After Day 1 participants will be able to discuss this topic knowledgeably, without fear of jargon, and with good awareness of major historic cases. Day 2 provides more detailed information about the challenges and difficulties of Trade Surveillance in practice; and potential future solutions.

The course starts with an explanation of the jargon and terminology used by practitioners; and then relates industry jargon back to the language used in legal and regulatory texts. Having established what Market Abuse is, we move on to an explanation of how Trade Surveillance is designed to catch it. The day finishes with a review of high-profile Market Abuse and Insider Trading case studies.

Day 2 starts with a more detailed review of how Trade Surveillance works in practice. Considering the wide range of stakeholders in the process we discuss the responsibilities that fall to each group, and how each measures their own success. We then review public examples of compliance failures and what steps can be taken to address these in practice.

The course finishes with an up-to-date look at current trends and developments. These include the possibilities arising from advances in technology and artificial intelligence; evolving regulatory priorities, and the rise of the ‘Surveillance Professional’.

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  • Date:
  • Venue:
  • Central London and remotely via LFS LiveLFS Live
  • Fee:
  • £1675 per day
    £3350 total

This course is also available in New York Time Zone and Singapore Time Zone

Who The Course is For
  • Surveillance teams
  • Compliance teams
  • Internal audit
  • Legal & regulatory teams
  • First line of defence
  • Risk managers
  • Traders, sales and market participants
  • Technology and data scientists
Learning Objectives
  • Understand the types of behaviour considered to be Market Abuse
  • Gain familiarity with global legal and regulatory frameworks for Market Abuse
  • Review high-profile cases of Market Abuse and Insider Trading
  • Understand roles and responsibilities for mitigating the risk of Market Abuse
  • Consider appropriate measures of success for Trade Surveillance
  • Explore current Trade Surveillance practices
  • Understand data dependencies and statistical techniques, including for unstructured data
  • Consider the future of surveillance in the context of regulatory developments, artificial intelligence, and the skills and capabilities required for the future
Prior Knowledge

A basic understanding of capital markets and securities trading.


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