JWG’s review of the 276 page MAR review report raised a number of key issues for surveillance professionals which further the need for SM&CR guidance. Come join your colleagues in a short discussion of the objectives, approach and focus of for SM&CR surveillance guidance to help.

New consultations were released last week which could have a major impact on communications surveillance. Time to book your seat at the next Chatham house rule JWG RegTech Trade Surveillance Special Interest Group (TSS). The 276 page MAR review report revisits key issues for surveillance professionals including: the definition of inside information, insider dealing controls/ disclosure, market soundings, insider lists and the establishment of an…

Round the table: ​ Firms: Barclays, BNP, Credit Suisse, EDF Man, ING​ Vendors: Altergiaia, Datavisor, Grant Thornton, Lysis​ Regulators: FCA​ Independents: Mark Davies, Kumar Raju, Stephan Niermann, Samantha Sheen ​ 15+ people will dive into AMLD V RegTech use cases:​ Discuss latest status with FCA TechSprint & Companies house interaction​ Review conclusions from the RTC registry survey and implications for RTC Project​…

Round the table: ​ Firms: Barclays, BNP, BlackRock, Citi, Credit Suisse, EDF Man, ING, GAM, Santander, Westpac​ Vendors: Altergiaia, pTools​ Regulators: FCA​ Independents: Stephan Niermann, Samantha Sheen ​ 15+ people will dive into AMLD V RegTech use cases:​ Review FCA TechSprint outcomes for UBO ​ Understand potential vehicles for leveraging Citadel’s solution​ Identify potential participants​ Agree plans for CMS and RegTech Council on 17 October

The FCA have requested that for the meeting with Companies House (CH) be limited to the Citadel leaders and me as the spokesperson for the RegTech Council in December. Accordingly, we have moved our workshop on 28 November to Credit Suisse in order to get your views and comments on your ask of CH. We…