RegTech CommunityTSS 21: MAR review, MiFIR CP and communications surveillance
November 3, 2020 4:00 pm
Upcoming Online
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…
CMS 13: RTC KYC Registry & Forward planning meeting
July 23, 2019 4:00 pm
2, Churchill Place, England, E14 5RB, United Kingdom
Archived In-person
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…
CMS 14: RTC & FCA TechSprint Winning UBO solution
September 26, 2019 4:00 pm
3, Harewood Avenue, England, NW1 6JL, United Kingdom
Archived In-person
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
CMS 15: Citadel/AMLDV Registry data sharing vision
November 28, 2019 4:00 pm
1, Cabot Square, England, E14 4QJ, United Kingdom
Archived In-person
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…
CMS 16: RegTech Council 5MLD registry data project
January 30, 2020 1:30 pm
33, Canada Square, England, E14 5LB, United Kingdom
Archived In-person
Round the table: Firms: Blackrock, BNP, Citi, Credit Suisse, Deutsche Bank, GAM, HSBC, Morgan Stanley, Natwest Markets, Railsbank Regulator: Companies House, FCA Infrastructure: BvD, Ince, SEI 25 people will discuss: Align our current understanding of 5MLD registry challenges Define key challenges for the RegTech Council Agree a plan to mutualise the work required to digitize the exchange of data The…
CMS 17: RTC – AML registry data project
March 3, 2020 4:00 pm
Archived Online
To recap, we have been working with your peer firms over the last 2 years to engage with the regulators on AML: The RegTech Council, at the direction of Barclays, Credit Suisse, BNP, Citi and other firms worked with the FCA to define the UBO use case for the global Tech Sprint last summer Team…
TSS 14: AML and trade surveillance – Gaps, Issues and Opportunities for RegTech
September 12, 2019 4:00 pm
England, EC2N 2DL, United Kingdom
Archived In-person
Round the table: Firms: Barclays, BlackRock, BMO, BNP, Commerzbank, Credit Suisse, ED&F Man, GAM, Janus Henderson, Jeffries, JP Morgan, Macquarie, Man, Nomura, RBC, Santander, Scotia, Soc Gen, TD, UBS, Wells Fargo Vendors: Altergaia, Digital Reasoning, Grant Thornton, Lysis, NICE Actimize, pTools, Relativity Trace Regulators: FCA 30+ people will: Review recent conclusions from FCA review and Global AML TechSprint Discuss operating…
TSS 15: Overcoming barriers to integrated surveillance – Trade, voice, eComms, conduct and AML
November 5, 2019 4:00 pm
5, Churchill Place, England, E14 5HP, United Kingdom
Archived In-person
Round the table: Firms: Aviva, BAML, Barclays, Blackrock, BNP, Commerzbank, CS, ED&F Man, Fidelity, GAM, Janus Henderson, Jefferies, Macquarie, Morgan Stanley, RBC, Santander, Scotia Bank, Soc Gen, State Street, TD and UBS Vendors: Altergaia, Digital Reasoning, NICE Actimize, pTools, Relativity Trace 30+ people will: Discuss the results of JWG’s Surveillance Capability model research findings Discuss the group’s view of barriers…
TSS 16: Data ethics, voice & eComms surveillance
December 10, 2019 4:00 pm
20, Churchill Place, England, E14 5HJ, United Kingdom
Archived In-person
Round the table: Firms: Avivia, BAML, Blackrock, Credit Suisse, Fidelity, GAM, Janus Henderson, Jeffries, Northern Trust, Renaissance Capital, Santander, Scotia Bank, Soc Gen, State Street, TD securities, UBS, Wells Fargo and Westpac Vendors: Digital Reasoning, NICE Actimize, pTools, Relativity Trace 25+ people will: Discuss the results of JWG’s Surveillance Capability model research findings related to voice Review new papers…