An Event With

Commodities Trading Surveillance Roundtable Houston

Date: March 27, 2025
Time: 3:00 PM – 5:00 PM CDT
Location: The St. Regis – 1919 Briar Oaks Ln, Houston, TX 77027

Join Diane M. Zeiler, Head of Compliance – US at HARTREE PARTNERS, LP. for a Roundtable in Houston, to dive into the following discussion points:

  1. Unrecorded Channels: Tackling the challenge of unrecorded communication channels and aligning surveillance strategies with regulatory expectations.
  2. AI and Model Governance: Exploring how AI is reshaping compliance and surveillance, with a focus on robust model governance frameworks like SR 11-7.
  3. Lexicons vs. Large Language Models (LLMs): Examining the transition from lexicon-based systems to LLMs, including robust testing practices and implementation strategies.
  4. Records Management and Integrated Compliance Solutions: Discussing how to ensure seamless integration of archiving, surveillance, and analytics for compliance efficiency and regulatory assurance.

Chatham House Rule apply, ensuring open and confidential discussions.

Agenda

Time Overview
3:00PM Check-in and refreshments
3:30PM Roundtable discussion

This invitation does not constitute gifts/entertainment and there is no entrance fee and no preparation required. Should you have additional questions or are unable to register online, please reply to [email protected] and a member of our team will be happy to assist you.