Presenting Speakers
PJ Di GiammarinoCEO
Paul CotteeDirector, Subject Matter Expert, Compliance
Richard BainHead of Compliance for State Street GlobalLink
John GrahamDirector of Regulation
Rachel WolcottSenior editor, risk and compliance
Sam TyfieldPartner
This content has been restricted to logged in users only. Please login to view this content.
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