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After regulators fined banks a total of $2 billion for failing to keep proper records of employees’ comms via email and messaging apps, surveillance leaders still cannot agree on the best ways to integrate their capture and archival solutions with surveillance tools, nor even on how to capture and retain modern comms channels.
Communication surveillance is a significant area of focus for banks in 2023. This is partly a reaction to US and UK enforcements in this area, but also recognises the importance of electronic communications as sources of broader conduct risk, and in providing the context for trade surveillance alerts.
Just some of the topics to be discussed include:
- Future-proofing your approach to e-comms surveillance regulatory requirements
- The role of broader surveillance within banks / expanding coverage
- Developing workflow and visualisation tools
- Surveillance of WhatsApp and other social media
- Technology best practice in current e-comms surveillance processes
- Using e-comms to identify broader misconduct and culture issues
- Lexicons vs ML – striking the right balance
- Risk-based surveillance
- Language coverage and identification
- Ensuring diligent record-keeping & capture of unapproved comms channels
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Banks are tightening their surveillance of various communications channels and extending the scope beyond traditional boundaries. This reflects concerns over the banks’ broader culture and a clampdown by regulators. 1LoD’s recent e-communications Deep Dive was set against the backdrop of two key themes – the well-publicised enforcement actions over the unmonitored use of WhatsApp, and the banks’ equally public adoption of tracing software on bankers’ mobile devices. Read the 2022 post event report
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What can you expect?
- Engage with your direct peers globally
- Discover how your institution can improve its E-Comms surveillance function
- Benchmark your E-Comms surveillance capabilities against your peers
- Understand how to mitigate E-Comms risk in disparate operating models
- Hear from leading practitioners who are buying and building E-Comms surveillance technologies
- Identify optimum ways to maximise efficiencies within your institution
- Accelerate your continued professional development by gaining CPD credits
- Expand your professional network
Who Should attend:
Leading Practitioners and Heads of Function from Banks and Asset Managers working within:
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How the Deep Dives work?
Networking
- A series of interactive pre-booked roundtable discussions between financial institutions, moderated by 1LoD
- An inter-delegate messaging system available before, during and after the event
Roundtables
Private, off the record roundtables are moderated by 1LoD, and attended by delegates from financial institutions who have booked their place in advance. They take place on Zoom. Delegates are sent discussion topics, and an overall structure of the debate in advance to assist the flow of the discussion.
What have others said about attending our virtual events?
"This was my first time as an attendee at a 1LoD event (and not just a presenter) and I have to say that it was a fantastic learning opportunity. As a regulator, I got a first-hand view of the challenges the industry faces which enables me to consider these when enforcing regulatory compliance."
Cliffe Allen, Managing Director of Examinations for OTC Derivatives, National Futures Association
"An amazing conference bringing a global perspective on Controls and great opportunity to network worldwide!"
Nathalie Risacher, Global Head Culture & Conduct, Natixis
"Great event as always and this time was special as we were able to connect with a wider stakeholder group across multiple time zones. The content was relevant and we had healthy and varying points of view - keep it up, great job!!"
Rajeev Chib, APAC COO Investor Sales, Citigroup
"Top class speakers at a worldwide event. Every audit professional should attend."
Gijs Borghouts, Chief Auditor, Corporate Banking, Risk & Finance, NatWest Group
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