Virtual Regs & Eggs
Expert market abuse monitoring panel 

Tune into this online panel discussion on May 12th and listen to experts from Baringa, Finceler8 and SIX Group talk about global market abuse monitoring obligations, common challenges and best practices.

This event has now passed but you can watch a recording of this online panel discussion on-demand

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Given the current environment we are taking our regular spring Regs & Eggs event online! Whilst we won’t be able to treat you to an egg breakfast, we can certainly provide you with an interesting discussion about regs.

The increasing demands for market abuse surveillance over recent years have been challenging enough for firms to manage due to the wealth of data from different sources that needs to be consolidated and monitored.

Recent turn of events – the COVID-19 pandemic – have now magnified these challenges, making it even more difficult for firms to capture the data required for surveillance (including trades, orders, voice calls, instant messages, WhatsApp, SMS, and even things like CRM data and meeting minutes).


Firms that were struggling prior to the global lockdown will now be dangerously close to falling short of their obligations and those that still rely on legacy and on-premise technology will find it difficult to access and capture data remotely.

In this webinar, we will be discussing the global landscape for trade and communications surveillance and what firms should be considering as they approach their obligations.




Haider Mannan

Data Consultant

Haider Mannan is a regulatory data specialist at SIX. He covers a range of regulatory topics affecting the investment process, to help firms achieve compliance through value-added services from SIX. Haider is also a keen researcher and is currently analysing the integration of ESG data in sustainable investing. Haider has worked on alpha generation, risk and regulatory programmes over the last decade, with an emphasis on big data and data management.


Jon Carp

Director and Co-Founder

Jon has over 35 years’ experience within the financial markets, having worked in both Broking and FinTech sales. Starting his career at Cazenove & Co in the early 80s, Jon has subsequently been a Sales Manager at Reuters, headed up Electronic Trading at Credit Agricole Cheuvreux in London and New York, and worked within the Prime Brokerage and Electronic Execution at Newedge/Societe Generale. Jon co-founded Finceler8 in 2016 and The Broker Club in 2017.

Matt Smith, CEO SteelEye (square)Matt Smith (moderator) 


Matt is the CEO of SteelEye and has over 20 years of technology and management expertise throughout North America, Europe and Asia. As a senior RegTech product manager at Bloomberg, Matt was instrumental in evolving the product strategies for a range of compliance solutions, and trading and analytics platforms. Prior to this, he was the Chief Information Officer at Noble Group, where he oversaw regulatory technology and the deployment of big data, trading and analytics platforms.

Nick Fulton

Nick Fulton

Capital Markets Management Consultant
Baringa Partners

Nick works for Baringa’s Capital Markets consulting team and specialises in market abuse monitoring. He advises clients on how to improve their surveillance capability whilst meeting the ever evolving regulatory demands that are put in place to combat market abuse.



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Discussion points:

  • What are the key European and American regulations impacting surveillance requirements?
  • How are exchange venue requirements changing the surveillance landscape and what are companies doing to respond to venue specific surveillance requirements?
  • What market abuse reports do firms need to produce and what do these look like? How do alerts for these behaviours work? 
  • How is trade and communications surveillance evolving in the current lockdown environment?
  • What are the biggest challenges firms are grappling with in order to continue to meet their obligations?
  • What are the best practices and top things all surveillance leaders should be focussing on?


Watch Webinar on Demand: 


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