TSS 24: Digital accountability in a democratized finance sector

May 18, 2021 4:00 pm

Upcoming 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…

TSS 23: GameStop, Conduct Risk, Culture and KPIs

March 16, 2021 4:00 pm

Archived Online

As we summarized in our latest Beacon, JWG’s surveillance community has covered quite a patchwork of regulatory obligations over the past 2. In all that time, nothing has pulled all into focus like GameStop. JWG has been digging beyond the broadsheet news to examine what roars from Reddit chat groups will mean to wholesale and…

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…

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…