Our next exciting event is on Thursday 2 July 2015 from 18:00hrs to 21:00hrs which is very kindly being hosted by KPMG on the subject of Rogue Traders. In particular, speakers will be talking about reactive rogue trader investigations; proactive analytics for managing the risk of rogue trading (prevention) and the industry (in-house) view of a rogue trader, giving a view on proactive solutions.
Registration and drinks at 18:00hrs to 18:30hrs
Speakers and Q&A at 18:30hrs to 19:30hrs
Networking Drinks at 19:30hrs to 21:00hrs
Our esteemed speakers are:
James is a Director at KPMG and has over twelve years’ forensic experience. He specialises in cross-border investigations often with a regulatory angle. His recent highlights include an investigation into potential market abuses in commodity trading and unauthorised trading activity for the UK and Swiss Financial Regulators. Prior to this, James trained and qualified as an auditor, where he specialised in the energy sector. James will present on his experience of reactive investigations into rogue traders.
Marcus is a Director at KPMG. Over the past couple of years, he has focussed on the challenge of effective surveillance and monitoring of traders that banks and other organisations face, especially in light of the recent LIBOR and FX incidents. By combining KPMG’s deep knowledge and expertise from over 150 investigations with advanced technology that detects changes in behaviour, Marcus has created the KPMG Magna solution. This modular platform allows clients to join the dots of their current surveillance landscape to get a holistic view of all their trading staff and detect relevant changes in their behaviour as they occur. Marcus will present on proactive initiatives to detect red flags in data that may indicate rogue trading.
Carroll Barry-Walsh is a Managing Director and lawyer and Head of the UBS's Regulatory Inquiries and Investigations Group for the EMEA region. The group deals with all types of regulatory, administrative and criminal inquiries, investigations (both internal and external), whistleblowing investigations, suspicious transaction reports, enforcement-related matters and criminal trials (including the Adoboli trial in autumn 2012) across the region. She trained as a barrister and spent time working for government before joining Slaughter and May’s Litigation group for 7½ years. Subsequently, she was an in-house lawyer at Salomon Brothers and Citigroup dealing with both advisory work and regulatory and litigation-related work, Head of Legal, Europe for Robertson Stephens, a Bank of America subsidiary and a secondee with the hedge fund, Citadel. She has been with UBS since November 2003.