Effective monitoring for energy trading behaviours of interest
The webinar discusses perspectives, ideas and actionable steps to help optimise firms' approaches to energy trade surveillance, assess and respond to new compliance demands driven by regulators or internal policies.
View the webinar: Effective monitoring for energy trading behaviours of interest
Increasingly, banks, hedge funds and energy trading companies have come under heavy scrutiny by the Federal Energy Regulatory Commission, the Commodities Futures Trading Commission and the Financial Services Authority. Regulations such as the Energy Policy Act 2005, the Financial Services and Markets Act 2000 and the Markets in Financial Instruments Directive empowered regulators to apply intense financial and criminal penalties.
Through case law and settlements, regulatory agencies have sent a clear message for firms that trade physical and financial energy products to intensify trade monitoring initiatives and ensure a culture of compliance prevails throughout their organisation.
A rigorous approach to monitoring and surveillance of trading activity that generates meaningful alerts, enables efficient investigation and analysis, and streamlines the ongoing management and reporting of relevant information is key to a firm's ability to meet more stringent regulatory expectations and achieve an operating environment that protects the firm's reputation and customers.
Speakers:
Lianna Brinded, Senior Reporter, Energy Risk
Michael R Berry, Managing Member, MRB Consulting LLC
Deb Castaldo, Director – Market Surveillance, Citigroup Global Markets
Michael Lyons, SVP – Market Surveillance, Citigroup Global Markets
Bill Nosal, Head of Product Management – Governance, Risk and Compliance, Oracle Financial Services Software
Robert Kalish, Managing Director, Strategic Client Group, OpenLink Financial
Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.
To access these options, along with all other subscription benefits, please contact info@risk.net or view our subscription options here: http://subscriptions.risk.net/subscribe
You are currently unable to print this content. Please contact info@risk.net to find out more.
You are currently unable to copy this content. Please contact info@risk.net to find out more.
Copyright Infopro Digital Limited. All rights reserved.
As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (point 2.4), printing is limited to a single copy.
If you would like to purchase additional rights please email info@risk.net
Copyright Infopro Digital Limited. All rights reserved.
You may share this content using our article tools. As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (clause 2.4), an Authorised User may only make one copy of the materials for their own personal use. You must also comply with the restrictions in clause 2.5.
If you would like to purchase additional rights please email info@risk.net
More on Risk management
EU can handle energy price pressure – it’s been here before
Reforms made after Russia’s invasion of Ukraine have made region more resilient to energy shocks, officials say
Rising reliance on internal auditors spooks regulators and industry
Risk managers warn US is substituting supervisors with auditors; could compromise independence
What futures and options say about the cost of war
Spot prices reveal major disruption, futures indicate this will pass, options imply ongoing instability
For collateral, can TINA become TIA?
US Treasuries’ dominance as collateral in repo and derivatives is no longer set in stone, argues economist
CME-FICC cross-netting terms fuel clashes
Hedge funds worried by CCP powers to suspend arrangement; clearing members say it’s standard practice
A Hormuz tipping point may be days away
Agent-based model suggests delays and shortages likely to accelerate after four weeks
Op risk data: HK gets tough on takeover in $200m takedown
Also: Bank staff steal state funds in India; Vanguard settles US net zero lawsuit. Data by ORX News
CRO view: Emerging risks in the age of AI
The risk agenda is shifting beyond market and credit volatility towards operational resilience, AI governance and culture