Presenting Speakers
PJ Di GiammarinoCEO
Jerome LambertEMEA Business Development Director – Financial Market Compliance
Richard BainHead of Compliance for State Street GlobalLink
Paul Clulow-PhillipsManaging Director - Global Head of Markets compliance, Global Head of Surveillance
John GrahamDirector of Regulation
About the Session
eComms, voice and chain data sets require trade data and market insight to spot manipulation. At the same time, privacy and AI rules are pushing back on holistic approaches. How does RegTech help the 2nd line of defence mitigate risks in the right way?
Regulatory Challenges
- Dear CEO letter for principal trading firms – Algo trading here
- FCA 05/22 Market Watch 69 – Observations on market abuse surveillance here
- SEC $80m hacking and trading scheme fine here
- Electronic communications surveillance fines summarised here
- FCA £13.6m fine of Citigroup for failed trade surveillance requirements here
- Economic Crime (Transparency and Enforcement) Act 2022 here
- Conduct, culture, AI and data policy
New RegTech/SupTech drivers
- JWG analysis on Surveillance RegTech 2022 here
- TR analysis – FCA seeks tech boost for market surveillance here
- JWG analysis – Getting in Front of New 2023 Surveillance AI Controls here
- JWG analysis – Market Watch 69 & Surveillance RegTech here
- TR analysis – Hack-to-trade schemes, dark web tip-offs and poor controls raise insider dealing concerns here
- TR analysis – Culture wars, misinformation, and Ukraine further complicate firms’ social media policies and presence here
- RegCast: Protecting Digital Asset Investors here
- RegCast: Good digital surveillance here
- RegCast: Digital Surveillance of democratized finance here
- RegCast: Market Watch 69 & RegTech here