Session Details
Delivering to consumer preferences

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
  • UK Consumer duty – EU consumer investment strategy
  • ESG and greenwashing
  • Liquidity pools – venue or  counterparty in “trading venue perimeter guidance”
  • International/3rd country access and reciprocal arrangements
  • 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
  • US Best execution/ RegBI / Form CRS
  • UK WMR / Edinburgh reforms
  • SFC Circular
New RegTech/SupTech drivers
  • Integrating trading rulesets, disclosures, ESG, CTP data
  • Market data / reference data standards and formatting
  • Data charges, valuation and methodologies
  • Common domain model
  • Digital regulatory reporting
  • Best ex challenges here and here