NextGen Trading Compliance RegTech Seminar 2023 Agenda
22 March 2023 11:00 – 16:00 GMT
Don’t miss out: 2023 is a crucial year to hear from global experts about the regulatory changes ahead and how you can act now to mitigate your risks.
MiFID III, the Edinburgh plan and DFA II consultations were published in December 2022. It can be difficult to keep up– but that’s where we come in. JWG has guided markets regulatory change since 2006. Join in!
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
NextGen trading compliance RegTech Seminar 2023 Agenda
22 March 2023 11:00 – 16:00 GMT
For speaking opportunities or to register interest in attending please Contact Us
UK
About the session
The 20s have challenged financial institutions to reconsider their compliance operating model and the tools required for the job. Nowhere is the need for RegTech more acute than the fast-moving and complex web of trading regulations. PJ Di Giammarino, Founder and CEO of JWG, and first editor of RegTech will share his perspectives on what is in store for risk and compliance professionals at the trading coal face.
New RegTech/SupTech drivers
- Technology risk management: e.g., AI, Cyber
- Operational risk and Operational resilience
- Common domain models
- Digital regulatory reporting standards
- Regulatory engagement in RegTech
About the session
Market data and post trade transparency is up for debate. As the UK contemplates market reforms, ESMA has been asked to specify the ‘quality and the substance of core the market data and the quality of the transmission protocol’. Both are introducing new CTPs. COOs and compliance officers risk being unable to police bad data and holding the SM&CR bag. What trading capabilities are needed to comply in a more clearly defined marketplace?
Regulatory Challenges
- ESMA Report on trading perimeter here UK Q223 consultation a
- International/3rd country access and reciprocal arrangements
- MiFID/ MiFIR review – BVI-EFAMA-EFSA-NSA priorities letter
- US SEC trading reforms – including PFOF, Best execution/ RegBI / Form CRS
- MiFIR RTS 1 & 2 opinions and transparency proposals
- The UK Edinburgh reforms set post-Brexit course
- EU Tax rules complement MICA proposals
- SM&CR
UK
About the session
Regulators want consumers to be served better. This means feedback loops between product governance, trading and distribution. Consumer preferences (e.g., risk, ESG), market transparency (Venues, CTP) and costs need to be codified and integrated into workflow across the value chain. Compliance will have tough questions to answer for senior managers who are now personally accountable for the audit trail. What next generation trading RegTech tooling is required to satisfy the consumer and regulator?
Regulatory Challenges
- EU Parliament back better access to market data here
- FCA wholesale trade data – Findings Report here
- EU/UK Consolidated Tape tender here
- UK Consumer duty implementation – EU consumer investment strategy
- ESG ‘PAI’ and greenwashing
- MiFID II Redefinition of ‘Reasonable Commercial Basis’
- ESMA ‘core market data & the quality mandate’ MiFIR mandate
- ESMA post-trade transparency manual here
- MiFIR RTS 1 & 2 opinions and transparency proposals
- SFC Circular
New RegTech/SupTech drivers
UK
About the session
Global conflict has stretched risk frameworks for AML/CFT, trade surveillance, eComms, voice, and digital assets. Experts have long called for integrated management approaches across silos, is RegTech ready to enable better models to defend the firm?
Regulatory Challenges
- Dear CEO letter on Fin Crime and market abuse safeguards here
- US $2 billion in WhatsApp fines
- FCA TR19/4 here
- FCA 05/22 Market Watch 69 – Observations on market abuse surveillance here
- Bank of England – Charting the Future of Post-Trade here
- Economic Crime (Transparency and Enforcement) Act
- FATF 40 recommendations here
New RegTech/SupTech drivers
- FINOS Common Domain Model project here
- FIA Surveillance and Market practices here
- JWG analysis on Surveillance RegTech 2022 here
- JWG analysis – Market Watch 69 & Surveillance RegTech here
- JWG economic crime RegTech analysis and RegCast here
- JWG AML and TM RegTech 2022 analysis here
- JWG analysis on DeFi and the AML car here
About the session
The tide has receded leaving global regulators to align digital asset policies. How does RegTech help Compliance deal with customer, product and market obligations in decentralized finance
Regulatory Challenges
- Evidence by Charles Randell on cryptoassets here
- ESMA guidelines for a DLT market infrastructure here
- FED, FDIC, OCC crypto-asset liquidity risk statement here
- GDCA 2022 impact report here
- UK HMT Future financial services regulatory regime for cryptoassets
- HKMA Crypto-asset and stablecoin discussion paper
- US Crypto joint statement
- 0123 digital asset remarks Commissioner Peirce here
- 0123 SIFMA core principles to address regulatory gaps here
- UK Edinburgh plans
- Full research here
New RegTech/SupTech drivers
- JWG analysis: new UK asset management RegTech here
- JWG analysis: Navigating choppy digital asset waters here
- DeFi and TradFi compliance obligations and tooling post FTX here
- TR analysis UK Crypto jurisdictional matters here
- JWG analysis UK Crypto needs RegTech here
- Thomson Reuters UK Crypto analysis here
- GDF annual report 2022 here
- Milken FinTech in Focus 2022 here here
- JWG analysis: RegTech, key to stablecoin stability here
- JWG analysis: Regulating digital-assets: after the tide goes out here
- JWG analysis: US order
UK
About the session
The next 18 months will shape RegTech as compliance evolves to meet the needs of divergent regulation. Strong planning and co-ordination to align TradFi and digital asset rails is required. What are the key priorities for 2023 and how should leaders think about charting their future course?
Regulatory Challenges
- Engagement models
- Policy management
- Accountability (e.g., SM&CR, SEAR)
New RegTech/SupTech drivers
- Standards
- Model-driven controls
- Compliant OpRisk benchmarks
