NextGen Trading Compliance RegTech Seminar 2023

22 March 2023 11:00 – 16:00 GMT

Sponsors & Strategic Partners

Participants

Confirmed Speakers

Business Development (UK)
Head of Data Governance and Strategy, Financial Technology & Innovation
Group Compliance COO
CEO & Founder, Rudich Advisory
Lecturer in Finance Department of Accounting, Finance & Law
ACA Head of eComms Surveillance and Archive
Director, Center for Securities Trading and Analysis
Chief Executive Officer
Executive Chair of Global Digital Finance
Vice Chair, Advisory Council
Director of Sanctions
Director, International Illicit Finance at UK Finance
Senior Product Manager
Vice President, Ethics Control Room & Incident Management Team
Principal Regulatory Advisor
Head of Client Lifecycle Management
Managing Director, Chief Operating Officer (COO) and Chief Controls Officer, Group Compliance

Context

Are you a senior executive or compliance officer for a financial services firm?

If so, then you know that the industry’s regulatory framework is changing fast. MiFID III, the Edinburgh plan and DFA II consultations were published in December 2022. It can be difficult to keep up with all the changes – but that’s where we come in. JWG has collaborated with hundreds of SMEs to help guide MiFID compliance since 2006. Our analysts monitor all regulatory websites and use our RegDelta platform to spot the key issues for the business and identify the impact on the middle and back office.

Objective

In this conference, leading De Fi, Digital Asset and TradFi SMEs will articulate the key trading compliance challenges precipitated by divergent UK, EU, US and Asian policies. We will discuss how proven RegTech can be deployed now to help empower 2nd and 3rd lines of defence to ensure customer, firm and regulatory interests are aligned.

JWG is a top market intelligence company, uniquely placed to help companies position their RegTech products and services to senior decision makers in leading financial institutions. You benefit by:

  • Connecting with our global network of regulators, regulated and those that serve them
  • Quickly assimilating decades of research into the top challenges of RegTech
  • Understanding the SME pain points of people like you who have attended it started the MiFID Joint Working Group in 2006.

JWG RegTech events are ‘must go’ for many senior decision makers which help shape the future of the of RegTech and are at the forefront of this rapidly growing industry.

Act now to help shape the agenda and maximise your message to the market.

Objective

In this conference, leading De Fi, Digital Asset and TradFi SMEs will articulate the key trading compliance challenges precipitated by divergent UK, EU, US and Asian policies. We will discuss how proven RegTech can be deployed now to help empower 2nd and 3rd lines of defence to ensure customer, firm and regulatory interests are aligned.

Virtual Panels

We are crafting the right agenda based on our exclusive research on the real-world policy and implementation challenges in this fast moving space

Target Audience

Business: Buy-side and sell-side trading; Portfolio management; FinTech; De Fi; FMI

Middle office: Regulatory SMEs, heads of regulatory change, compliance, legal, technology, market data, procurement, risk, regulators

Executive decision-makers: CROs, CIOs, CAOs, COOs, CDO, heads of eCommerce, heads of market structure

Virtual for Delegates

Watch presentations live as they happen on any computer or mobile device and connect with fellow attendees

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Virtual for Sponsors

Connect with other delegates, listen to live sessions and get seen by the right decision makers globally

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On-Demand

All sessions will be available after the conference for 6 months

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