Session Details
Trading Failures and RegTech 2023

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