TSS 22: SM&CR use case objectives and roadmap

November 17, 2020 4:00 pm

Archived Online

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.

TSS 21: MAR review, MiFIR CP and communications surveillance

November 3, 2020 4:00 pm

Archived 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…