Presenting Speakers
Robert WhittallGlobal Operations Head - Internal/Trading Surveillance
Paul Clulow-PhillipsManaging Director - Global Head of Markets compliance, Global Head of Surveillance
Jerome LambertEMEA Business Development Director – Financial Market Compliance
Shaun HurstPrincipal Regulatory Advisor
About the Session
As financial institutions face increasing pressure from regulators and customers to ensure transparency and ethical behaviour, the importance of surveillance RegTech has grown exponentially. But what drives the adoption of better technology? Is it fear of regulatory fines, greed for profit, or a genuine focus on customer safety? Research has shown that standardized business events and data dictionaries can streamline the process but what is the 2024 RegTech agenda?
Regulatory Challenges
- FCA Market watch 76 – flying and printing here
- 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 Q323 analysis – Regulatory Surveillance: Which camp are you in? here
- JWG Q323 analysis – RegTech Surveillance: breaking silos with digital models here
- JWG Q223 Analysis – Defining ‘Good Communications surveillance’ 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
- RegCast: Breaking surveillance silos here
- RegCast: Could integrated risk controls have saved SVB? here
- RegCast: Good digital surveillance here
- RegCast: Digital Surveillance of democratized finance here
- RegCast: Market Watch 69 & RegTech here