Case Studies for Surveillants (Compliance & Surveillance experts)
€ 1.499,00 excl. VAT
Awareness, interpretation and defensible judgement
Interactive Case Studies for compliance officers, surveillance experts and other control professionals, referred to as ‘Surveillants’. With the Situational Engagements participants assess realistic situations where behaviour requires interpretation and defensible judgement. The cases strengthen awareness, consistency and effective monitoring of market conduct.
Licence for individual
This awareness training is available to the learner on a 24/7 basis during 365 days.
Purpose
ENTRIMA’s Case Studies for Surveillants support compliance officers, surveillance experts and other control professionals in strengthening awareness and judgement when assessing behaviour.
The Case Studies consist of both the Sanction Browsers and Situational Engagements, the latter being realistic situations where behaviour must be interpreted and assessed, often without clear-cut conclusions.
Situational Engagements for Surveillants
Situational Engagements are context-driven situations where observed behaviour, information use or trading activity requires assessment. These situations form the basis of the Case Studies and typically involve borderline or ambiguous cases.
Typical situations include:
- Information-related behaviour
- Unusual trading patterns
- Coordination between market participants
- Behaviour requiring escalation or documentation
The emphasis is on interpretation and consistency, not hindsight.
How Surveillants engage with the cases
Each case study presents a situational engagement and invites learners to:
- assess the situation
- determine whether concerns may arise
- explain their reasoning and applied criteria
The platform provides immediate feedback, supporting consistent interpretation.
Practical relevance for Surveillants
Working through situational engagements helps surveillants strengthen their ability to:
- Apply consistent reasoning
- Document defensible conclusions
- Identify potential concerns early
From interpretation to consequence
The Case Studies focus on interpreting Situational Engagements that may indicate market abuse.
In addition, the Sanction Browser provides context on how such behaviour has been assessed in practice.
Together, they support defensible and consistent decision-making.
Disclaimer
Although the content is developed with care and informed by best practice and publicly available guidance, it does not carry legal status. No rights can be derived from the material, and ENTRIMA does not accept liability for interpretations regarding the legal application of laws, rules or regulations.
For who?
These case studies are designed for professionals responsible for market monitoring, trade surveillance and compliance in the commodity & energy markets.
Typical roles include:
- Trade surveillance officers monitoring trading behaviour and market activity
- Compliance officers responsible for market abuse prevention and escalation
- Market supervisors working at exchanges, trading venues or brokerage platforms
- Regulatory and monitoring professionals involved in oversight of wholesale energy markets
They are particularly relevant for professionals who need to interpret trading behaviour, identify potential market abuse and support prevention and detection activities within their organisation.
Learning objectives
After completing these case studies, learners will be able to:
- Recognise situations that may raise market abuse concerns in commodity & energy markets
- Interpret trading behaviour in context, considering timing, information use and interaction between market participants
- Apply professional judgement when assessing ambiguous or borderline situations
- Explain and document their reasoning when evaluating potential compliance concerns
- Identify when behaviour may require escalation, monitoring or further investigation
Through repeated exposure to realistic scenarios, surveillants strengthen their awareness, interpretation skills and defensible decision-making in daily surveillance and compliance practice.
Study advice
Work through the case studies as you would approach situations in daily surveillance practice. Each case presents a realistic market scenario that requires careful interpretation rather than a straightforward answer.
When reviewing a case:
- Assess what is happening and identify the relevant behaviour or market context
- Consider why the situation may raise concerns from a surveillance or compliance perspective
- Explain your reasoning in your own words, focusing on the considerations that influence your judgement
- Compare your assessment with the feedback provided to understand how similar situations may be interpreted in practice
The objective is not to find the “correct” answer immediately, but to develop structured reasoning and defensible judgement when assessing market behaviour in the commodity & energy markets.
ENTRIMA's Sanction Browser
ENTRIMA 'sSanction Browser offers structured access to sanctions and disciplinary actions in wholesale commodity & energy markets. It helps professionals understand how market behaviour has been assessed by regulators and exchanges, supporting interpretation, awareness and consistent judgement based on real enforcement cases.
Real enforcement cases showing how market behaviour has been assessed and sanctioned in practice.
Coordinator role
Depending on the configuration, ENTRIMA and/or the client organisation may act in the capacity of ‘Coordinator’.
The ‘Coordinator’ role enables insight into:
- how different teams interpret the same situation,
- where misunderstandings or assumptions arise,
- how decision-making and escalation practices align across the organisation.
These insights support coordination, internal discussion and informed decision-making at both operational and general management level.
Frequently asked questions
What is the purpose of the Case Studies for Surveillants?
What types of situations are covered in the case studies?
How do learners engage with the case studies?
Why are these cases relevant for surveillants?
What role does the ‘Coordinator’ play in the learning process?
Upskilling professionals across the world’s key hubs
In the global commodity & energy markets, trading, risk management and trade operations run around the clock. The major hubs - Singapore, Shanghai, Dubai, Abu Dhabi, Geneva, Riyadh and London - connect physical flows with financial markets, regulation and technology-driven operations.
ENTRIMA provides a 24/7 learning offering designed for professionals working in these fast-moving centres. With flexible, blended-learning journeys accessible anytime and anywhere, you stay aligned with the pace, complexity and continuous evolution of worldwide commodity markets.
