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…

TSS 17: SM&CR and Surveillance​

March 12, 2020 4:00 pm

Archived Online

With enough regulatory change to last another decade already, JWG remains committed to collaborating throughout the pandemic. We look forward to a robust on-line discussion with colleagues from Avivia, Blackrock, GAM, Itau Unibanco, Janus Henderson, Northern Trust, RBC, Renaissance Capital, Macquarie, Santander, Scotia Bank, Soc Gen, State Street, TD and Westpac.   Please see the…

TSS19: Post COVID SM&CR surveillance audit readiness

May 28, 2020 4:00 pm

Archived Online

The FCA issued Market Watch 63 with a grave warning of post-COVID surveillance thematic or retrospective review. This confirms the expectations of many last month (minutes attached)  and we are delighted to add it to our meeting's agenda as we discuss the worked SM&CR Surveillance guidance example to define how the deliverables can help firms…

TSS 20: SM&CR Guidance and MAR II/MiFID III

August 6, 2020 4:00 pm

Archived Online

We are making good progress in our 1:1 discussion of policies, controls and the availability of resources and look forward to presenting the conclusions in the context of MAR II / MiFID III. The group met to discuss current regulatory demands on global surveillance functions. It reviewed new BCBS Operational Risk principles and EBA/ESMA suitability…

RRDS 18: EMIR Refit – Scope of Work & Path Forward

October 10, 2019 4:00 pm

1, Basinghall Avenue, England, EC2V 5DD, United Kingdom

Archived In-person

Round the table: ​ Firms: Allianz, Blackrock, BMO, Citi, Credit Suisse, DB, GAM, Goldman Sachs, LBG, Morgan Stanley, Standard Chartered, UBS​ Infrastructure: Regnosys, Inforalgo, Business Semantics​ Trade Associations: ISDA​ 25 people will discuss:​ A proposal for a RegTech Council EMIR Refit interpretation project​ Benefits and resource commitments​ Key stakeholders, thresholds and next steps for the launch of Q4 project​ What to…

RRDS 19: EMIR Refit – DRR Launch Plan

November 26, 2019 4:00 pm

8, Finsbury Circus, England, EC2M 7GB, United Kingdom

Archived In-person

Round the table: ​ Firms: Allianz, BMO, Citi, CS, DB, GAM, Goldman Sachs, LBG, RBS, Santander, Standard Chartered, UBS​ Regulator: FCA ​ Infrastructure: Regnosys, Inforalgo​ Trade Associations: ISDA. FIA​ 25 people will discuss:​ A proposal for a RegTech Council EMIR Refit interpretation project​ Thresholds and next steps for the launch of the RegTech Council project​ Define next steps for RRDS in 2020

RRDS 23: UK OTC Reg Reporting Project Launch

June 2, 2020 4:00 pm

Archived Online

Round the table: ​ Firms: BMO, BNY Mellon, Citi, Credit Suisse, DB, GAM, Goldman Sachs, Invesco, LBG, Morgan Stanley, Pictet, PIMCO, Santander, SEI, TD, UBS​ Infrastructure: Accenture, Business Semantics, Capco, DTCC, EY, Fujitsu, LRH, LSEG, Quorsus, SETL, SWIFT​ Trade Associations: AFME, ICMA, ISDA, EVIA, FIA, FTC​ Regulators: BoE, ECB, FCA

RRDS 22 – Jumpstarting OTC Reg Reporting 2.0 Roadmap

April 30, 2020 4:00 pm

Archived Online

Round the table: ​ Firms: BMO, BNY Mellon, Citi, Credit Suisse, DB, Goldman Sachs, Invesco, LBG, Pictet, PIMCO, Santander, SEI, TD, UBS​ Infrastructure: Accenture, Bloomberg, Business Semantics, Capco, DTCC, Elax, EY, LRH, LSEG, Market Axess, Quorsus, SETL​ Trade Associations: AFME, ICMA, ISDA, EVIA, FIA, FTC​ Regulators: BoE, ECB, FCA​ ​ 40 people will discuss:​ Expectations of UK OTC regulatory reporting​ Transparency 2.0 target…