Financial Markets and Regulation Partner and Co-Chair Carl Kennedy will speak on "Effective Oversight in Capital Markets: Supervision and Surveillance" at 12:35 p.m. on Monday, March 23 during the SIFMA C&L Annual Seminar. Panelists will discuss topics including:

  • Roles and responsibilities—1LoD vs. 2LoD
  • Supervision – Adequacy of procedures, systems and controls to detect/prevent misconduct
  • Surveillance and Data – Quality, Availability (including alternative data sources) and Usage
  • New Market Surveillance Technologies: The role of advanced technologies like AI and machine learning in enhancing market surveillance and detecting fraudulent activities
  • Supervisory responsibilities in extended hours trading

Learn more about the SIFMA C&L Annual Seminar.

Event Location

Grande Lakes Orlando,
4040 Central Florida Parkway
Orlando, FL
32837

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