On 27 September, US regulators served 16 Wall Steet firms nearly $2 billion in fines for doing business over personal applications like WhatsApp. The CFTC proclaimed the era of evasive communications practices to be over. However, as the FCA’s MarketWatch 69 illustrates, firms have struggled to implement surveillance policies which are fit for purpose. 2 decades after ‘Minority Report’ the technology exists to provide compliance with more support, but policy owners wrestle with fragmented market, privacy and AI rules which push back on adopting holistic approaches which cover the globe. In the run up to JWG’s 9-10 November virtual conference we ask experts what should be on the RegTech agenda for 2023.
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- Market Watch 69 & RegTech analysis here and RegCast here
- Good digital surveillance here
- Digital surveillance of democratized finance here
Speakers and Guests
PJ Di Giammarino
Vice President, Ethics Control Room & Incident Management Team, State Street Corporation
EMEA Business Development Director – Financial Market Compliance
Managing Director - Global Head of Markets compliance, Global Head of Surveillance
Aired on: September 17, 2021
Aired on: March 18, 2021
Aired on: February 1, 2021