TSS 26: Mitigating AI & 3rd party risks for trade surveillance

September 28, 2021 4:00 pm

Archived Online

Following a great discussion about the major surveillance AI control gaps highlighted by JWG’s July research  the FATF and BIS have both published complementary AI policy papers.   With penalties of up to 6% of annual revenue 500 working days away, we have decided to build RegTech AI surveillance use cases to: Tease out the…

TSS 25: Global capital markets AI control framework gaps

July 27, 2021 4:00 pm

Archived Online

Following our discussion of several global accountability regimes and forthcoming culture audits we are turning our attention back to AI. This is a very noisy space with Germany, UK, Japan and the US all mandating new controls in advance of MiFID III update which could raise the algo trading bar even higher.   In this…

TSS 23: GameStop, Conduct Risk, Culture and KPIs


16 March 2021 TSS 23: GameStop, Conduct Risk, Culture and KPIs Meeting objectives The group met to discuss the impact beyond the broadsheet news of GameStop hearings on wholesale and retail surveillance agendas and the impact on how firms manage conduct and culture risk? TSS Members can access to the 21-page presentation in the members’…

TSS 24: Digital accountability in a democratized finance sector

May 18, 2021 4:00 pm

Archived Online

The UK has taken a leading role in pushing for senior management accountability with a focus on SM&CR, Conduct and Culture. EU (MIC, SEAR) and APAC regulators (BEAR/FAR, IAC) have followed suit to varying degrees. In an increasingly digital sector with divergent rule sets, the ability to manage the compliance deltas is fast becoming a…