q A BCG Company HomeWho we areCompanyHistory History Founded in 2001, Expand has established its credibility as the trusted advisor to COOs, CIOs, Heads of Strategy and their executive teams across the world’s leading financial institutions. Expand has structured its organization around the needs of its clients in order to help them make the best commercial decisions on business, operations, technology and third-party fees. Products Business Corporate Functions Operations Technology FinTech Control Tower Working Groups & Forums External Fees Divisional Focus Groupwide Investment Banking Wealth & Asset Management Corporate & Transaction Banking Expand About Us Careers Contact Us Privacy Policy Terms Of Use Secure Upload Copyright © 2021 Expand Research LLP LinkedIn

q A BCG Company Group IT Regulatory Risk Platform IT Effectiveness Technology and Operations Resourcing Strategies IT Divisional Deep-dives CIO Dashboard Products Business Corporate Functions Operations Technology FinTech Control Tower Working Groups & Forums External Fees Divisional Focus Groupwide Investment Banking Wealth & Asset Management Corporate & Transaction Banking Expand About Us Careers Contact Us Privacy Policy Terms Of Use Secure Upload Copyright © 2021 Expand Research LLP LinkedIn

q A BCG Company Home Products Trading Surveillance Trading Surveillance The working group, facilitated by Expand, consists of a number of global Tier 1 and regional Tier 2 firms, who seek to enhance technology delivery and optionality, reduce costs, create resilience and meet regulatory requirements within trade, eComms and voice surveillance. Who is it for? Heads of Compliance Technology, Heads of Trading Surveillance IT, Heads of Comms Control Frequency Quarterly meetings Why do it? The Working Group allows participants to investigate options to build combined industry solutions within Trading Surveillance, and collectively explore the use of Big Data and behavioral analytics in Trading Surveillance (trader profiling). In addition, the group allows for vendor capability assessment in the mentioned areas. Past session highlights Regulatory impact on trading surveillance Profiling and behavioral analytics Human capital strategies Trading surveillance operating models Related products The Working Group should be used as a diagnostic tool to improve processes within Compliance, and can be combined with the Global Compliance technology benchmark. Next Steps To find out more, please use the form below. Alternatively, contact your local office using the below phone numbers. Worldwide Tel: +44 (0)20 7337 2100 USA Tel: +1 (212) 913 9270 Singapore Tel: +65 6823 1460 I agree to the processing of my information as explained in the Privacy Policy I agree to the Terms of Use * Mandatory Fields Products Business Corporate Functions Operations Technology FinTech Control Tower Working Groups & Forums External Fees Divisional Focus Groupwide Investment Banking Wealth & Asset Management Corporate & Transaction Banking Expand About Us Careers Contact Us Privacy Policy Terms Of Use Secure Upload Copyright © 2021 Expand Research LLP LinkedIn