Session Details
Trading Failures and RegTech 2023

Start: at 11:10

Presenting Speakers

About the Session

New digital asset and TradFi rules are introducing even more trading controls for   algorithms, PFOF, transparency and outsourcing. Despite EU regulators’ anaemic €12.2m 2021 fines, big penalties have been given out elsewhere. What will more draconian MiFID III, MiCA, and MAR II mean to EU, US and UK trading RegTech?

Regulatory Challenges
  • UK Regulatory Framework: Mansion House speech here,  UK Wholesale markets review here, TIGRR here
  • Market disorder/ Algo testing
  • US trading regulatory agenda shifts here
  • ESA’s regulatory technical standards on ESG / Product governance here
  • EC’s regulation amending MiFIR – Market data / PFOF here
New RegTech/SupTech drivers
  • FT analysis: policing trader bots here
  • $920 Million market abuse fine and EU Testing requirements“ (RTS 7, Article 10, 1)
  • Pre-post trade transparency: UK market data consultation here
  • JWG analysis – Digital Asset RegTech: challenges and next steps here
  • JWG analysis: US Order: Get your RegTech ready here
  • RegCast: Trading Digital Assets on TradFi rails here
  • RegCast: Protecting Digital Asset Investors here
  • RegCast: MiFID III & digitalizing markets here