TSS 26: Mitigating AI & 3rd party risks for trade surveillance

Following our discussion of several global accountability regimes and forthcoming culture audits we are turning our attention back to AI. This is a very noisy space with Germany, UK, Japan and the US all mandating new controls in advance of MiFID III update which could raise the algo trading bar even higher.

 

In this session JWG will take financial institutions and their suppliers through the top 10 AI developments for financial services including the new, prescriptive EU guidelines which could make any bank’s credit scoring application a high risk algo.

 

Materials have now been published so you can follow the debate about what changes will impact your front office most and have your say about what’s required of Compliance professionals.

Agenda:

  1. JWG’s international surveillance update
  2. Global AI landscape deep dive
  3. Control gaps and mitigation strategies
  4. Recommend path forwards