FOUNDATION MODULE

Build your surveillance foundation by understanding how teams assess risk across different trading setups, and how alert logic applies to real-world activity like DEA, DMA, and OTC flows.

• ✅ Everything in GENERAL MEMBERSHIP – Included for 6 months
• ✅ Market Abuse Typologies – Learn how different types of trading firms can trigger alerts and what patterns are relevant to each
• ✅ Surveillance vs. Compliance and Audit – Understand the surveillance team’s role versus the second and third lines of defence
• ✅ Buy-Side DEA/DMA vs. OTC Risks – Compare how these access types and order flows create different surveillance challenges
• ✅ Materiality, Frequency and Intent – Learn how these three pillars drive alert configuration and escalation decisions
• ✅ Monthly Foundation Quiz – Reinforce core concepts with regular scenario-based assessments

This track is ideal for:
– Surveillance Professionals and Compliance Teams wanting a common foundation in risk detection and escalation.
– Consultants, Technology Providers and Data Vendors who want to better understand the surveillance domain and how their clients approach market and conduct surveillance.

Price:

$450 for 6 Months

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