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    Nasdaq Surveillance Conference 2023

    Agenda

    Day 1: Monday, September 11

    18:00 - 20:00 Registration & Cocktail Reception

    Day 2: Tuesday, September 12

    08:00 - 09:00 Breakfast & Registration

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    09:00 - 09:10 Welcome

    Thomas Neill, Head of Sales, Surveillance, Nasdaq

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    09:10 - 09:20 Our Vision: The Next 30 Years

    Valerie Bannert-Thurner, SVP, Surveillance Business, Nasdaq

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    09:20 - 09:50 Fireside Chat | Digital Assets, Retail, Social Media & AI: What’s Next?

    • Insights into the future regulatory landscape
    • Balancing innovation and investor protection

    Commissioner Caroline D. Pham, Commodity Futures Trading Commission

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    09:50 - 10:30 Panel: Surveillance in a New World

    • Increase retail participation
    • Evolution of markets (e.g. crypto)
    • Volatility
    • Social media

    Moderator:
    Tony Sio, Head of Regulatory Strategy & Innovation, Nasdaq

    Panelists:

    • Eric Hains, Director of Surveillance, Robinhood

    • Eun Ah Choi, Senior Vice President, Regulatory Operations & U.S. Head of Listing Qualifications and Market Surveillance, Nasdaq

    • Stefan Nann, Co-founder and CEO, Stockpulse

    • Gavin Chia, Chief Executive Officer, Moomoo Financial Singapore

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    10:30 - 10:45 Morning Break

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    10:45 - 11:25 Inside the Crime: Market Manipulation Use Cases

    • Hear about real investigation cases from regulators and exchanges

    Round 1: Arthur Bark, Senior Supervision Officer, Autoriteit Financiële Markten
    Round 2: Kelvin Koh, Head of Surveillance, SGX RegCo

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    11:25 - 11:45 Leveraging AI in Surveillance

    Saeed Ali Juraybi, Director, Market Surveillance & Analysis Department, Capital Market Authority Saudi Arabia

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    11:45 - 12:25 Panel: Key Components of an Effective Surveillance Program

    Moderator:
    Ian Hawkins, Head of Product Management, Nasdaq Trade Surveillance

    Panelists:

    • Tim Shrimpton, Head of Pre-Trade Risk & Market Surveillance – APAC, ABN Amro

    • Peter Mason, Head of Market Surveillance, London Metal Exchange

    • Kenneth Wong, Senior Vice President, Hong Kong Exchanges and Clearing Limited

    • Joseph Cusick, Chief Regulatory Officer, Nasdaq PHLX

    • Tim Bhatnagar, VP, Market Compliance, Olam

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    12:25 - 13:15 Keynote Presentation | FBI Forensic Case Analysis: 'Pharma Bro' Martin Shkreli

    Christopher S. Delzotto, Assistant Special Agent in Charge, FBI

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    13:15 - 14:15 Lunch

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    14:15 - 17:00 Breakout Sessions

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    Breakout Sessions

    BALLROOM [A]

    Regulator and Exchange Topics

    BALLROOM [B]

    Market Participant Topics

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    14:15 - 15:15 Roundtable Session

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    14:15 - 15:15 Roundtable Session

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    15:15 - 15:45 Nasdaq Market Surveillance 2023 & Beyond

    Roadmap Part 1

    •    Robert Schulz, Senior Vice President, Anti-Financial Crime Technology
    •    Paul Gilmore, Vice President, Nasdaq Market Surveillance
    •    Fil Maisetti, AVP, Head of Product, Nasdaq Market Surveillance
    •    Andi Hakim, AVP, Product Development Manager, Nasdaq Market Surveillance

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    15:15 - 15:45 Nasdaq Trade Surveillance 2023 & Beyond

    Roadmap Part 1

    •    Ian Hawkins, Head of Product Management, Nasdaq Trade Surveillance

    ———

    15:45 - 16:00 Break

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    15:45 - 16:00 Break

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    16:00 - 17:00 Nasdaq Market Surveillance 2023 & Beyond

    Roadmap Part 2

    •    Robert Schulz, Senior Vice President, Anti-Financial Crime Technology
    •    Paul Gilmore, Vice President, Nasdaq Market Surveillance
    •    Fil Maisetti, AVP, Head of Product, Nasdaq Market Surveillance
    •    Andi Hakim, AVP, Product Development Manager, Nasdaq Market Surveillance

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    16:00 - 17:00 Nasdaq Trade Surveillance 2023 & Beyond

    Roadmap Part 2

    •    Ian Hawkins, Head of Product Management, Nasdaq Trade Surveillance

    17:45 Dinner Departure

    Day 3: Wednesday, September 13

    08:00 - 09:00 Breakfast & Registration

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    09:00 - 09:30 Keynote Presentation

    Hiroyasu Ichimoto, Managing Governor, Japan Exchange Group Regulation (JPX-R)

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    09:30 - 09:50 Keynote Presentation

    Takashi Hashimoto, Commissioner, the Securities and Exchange Surveillance Commission

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    09:50 - 10:30 Regulatory Priorities: What are some key priorities for regulators moving forward?

    Moderator:
    Tony Sio, Head of Regulatory Strategy & Innovation, Nasdaq

    Panelists:

    • Andreas Gustafsson, Senior Vice President, General Counsel Europe, Nasdaq
    • Alex Taylor, Vice-President, Surveillance, CIRO (IIROC)
    • Toshitake Inoue, Secretary-General, the Securities and Exchange Surveillance Commission

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    10:30 - 11:30 Morning Break + Innovation Avenue

    1. Workbench (Spread, Calibration & Alert Manager)
    2. Social Media Monitoring
    3. Pump & Dump
    4. Cloud
    5. Alerting Signals & Mitigating Factors
    6. Evidence Cards

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    11:30 - 12:30 Inside the Crime: Market Manipulation Use Cases (Part 2)

    • Hear about real investigation cases from regulators and exchanges

    Round 3: Fabio Perdiz, Head of Surveillance, B3
    Round 4: Joe Cusick, V.P. of U.S. Market Regulation, Nasdaq
    Round 5: Alex Taylor, Vice-President, Surveillance, CIRO (IIROC)

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    12:30 - 12:50 Surveillance Decade Ahead

    Michael Karbouris, Head of Strategy, Surveillance, Nasdaq

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    12:50 - 13:45 Lunch

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    13:45 - 16:30 Breakout Sessions

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    Breakout Sessions

    BALLROOM [A]

    Regulator and Exchange Topics

    BALLROOM [B]

    Market Participant Topics

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    13:45 - 14:15 HKEX Case Study: How HKEX's Trading Operations Team Leverages Nasdaq Market Surveillance

    Ryan Or, Vice President, Trading Development, Operations, HKEX

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    13:45 - 14:45 Exploring Our New UI: NTS Workbench

    Nicholas Wise, Head of Product Delivery, Nasdaq Trade Surveillance

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    14:15 - 14:45 Case Study: Leveraging AI to Enhance Surveillance

    •    Capital Market Authority Saudi Arabia
    •    Paul Gilmore, Vice President, Nasdaq Market Surveillance

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    14:45 - 15:30 Related Securities Manipulation Detection

    •    Alan Jukes, AVP, Product Manager, Nasdaq Trade Surveillance
    •    Peter Mere, Principal Data Engineer, Nasdaq Trade Surveillance

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    14:45 - 15:15 Fireside Chat: AI in Practice

    Moderator:
    Tony Sio, Head of Regulatory Strategy & Innovation, Nasdaq

    Participants:
    •    Paul Gilmore, Vice President, Nasdaq Market Surveillance
    •    Fil Maisetti, AVP, Head of Product, Nasdaq Market Surveillance

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    15:15 - 15:30 Break

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    15:30 - 15:45 Break

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    15:30 - 16:30 Master Class: Nasdaq Market Surveillance

    Fil Maisetti, AVP, Head of Product, Nasdaq Market Surveillance

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    15:45 - 16:30 Master Class: Nasdaq Trade Surveillance

    Tim Byford, Head of Client Success, Nasdaq Trade Surveillance

    16:30 - 16:45 Wrap-Up

    Nasdaq Host