Presenting Speakers
Richard BainHead of Compliance for State Street GlobalLink
Steve LoGalboDirector, Product Management, Compliance
Richard KempFounder
David ChurtonGlobal Head of Oversight
About the Session
The pandemic had already heightened concerns about market abuse when GameStop ripped open the digital accountability conversation and widened the lens on how firms need to monitor conduct, culture and influencers. Any real notion that working from home meant surveillance could be lighter touch were quickly disabused by regulators and we have also seen hundreds of new AI policy guidelines seeking to control digital behaviour. As the EU, US and UK all revisit market abuse regimes both man and machine are under the microscope – what impact will these obligations have on the lines of defence and how will the technical infrastructure need to adapt?
Regulatory Challenges
- RegCast 1: Retail Madness, Digitized Markets here RegCast 3: Digital roars and new regulatory frameworks here RegCast 7 Democratizing markets here
- Key surveillance takeaways from October Hoggett speech here, the MAD/R review here
- MAR supervisory findings here UK MAR divergence here
- RegCast 8: Digital Solutions for new culture audits here
New RegTech/SupTech drivers
- Thomson Reuters – EU rules governing artificial intelligence will put compliance obligations on facial recognition RegTech
here - JWG research – The State of Holistic Trade Surveillance here
- JWG research – Demystifying voice surveillance (Q120)
- JWG research – Global capital markets AI control framework gaps here
- JWG research – Digital Accountability in democratized finance here
- JWG reserach – GameStop, Conduct Risk, Culture and KPIs here