Session Details
Delivering to consumer preferences

Start: 22 March at 12:10

Presenting Speakers

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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
  • Integrating trading rulesets, disclosures, ESG, CTP data
  • EMIR changes to trade reporting requirements here
  • Market data / reference data standards and formatting
  • Data charges, valuation and methodologies
  • Common domain model
  • Digital regulatory reporting
  • Best ex challenges here and here