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RegTech Special Interest Groups (SIGs)
“The current regulatory landscape has significantly increased the demand for vendors’ technical expertise and resources, and JWG’s Trade Surveillance working group provides the perfect environment for NICE Actimize to engage with the industry and improve our compliance solutions.”
- Director Product Marketing, NICE Actimize
“Working with the RRDS group has been an incredibly positive experience. There is a real passion and energy in the group to enable change in a very high profile regulatory field. What has been produced so far shows that collaboration is working and the ambitions of an innovative wide solution is very much achievable.”
- Head of Strategy, Regulatory Risk & Compliance, GFT UK

JWG established Special Interest Groups (SIGs) in 2006 to bring all parts of the industry together in a ‘Joint Working Group’ to discuss how to best solve compliance challenges with the latest technology.

The SIGs provide a collaborative, high-trust environment under Chatham House rule, uniting Directors, programme managers and regulatory SMEs from the sell-side, buy-side and vendors to understand how RegTech can help solve for regulatory challenges, large and small. Today, our RegTech SIGs cover trade surveillance, KYC/AML, and reporting and reference data. We have facilitated an average of 3 SIG meetings a month over the past 12 years.

Client Management SIG (CMS): This group focuses on AML and other regulations which govern client conduct.


  • 7 March: Establishing a compliant RegTech architecture for AMLD V
  • 9 May: Constructing a compliant AMLDV customer data architecture
  • 25 June: AMLD V customer data interdependencies
  • 23 July: KYC Registry: Gaps, targets & priorities
  • 12th September: AML & Surveillance – Gaps & RegTech opportunity
  • 26th September: Global AML RegTech gaps
  • TBC: MiFID 11 Client Appropriate & ESMA’s lessons learnt
  • TBC: Year end RegTech wrap up – 2020 priorities

Please click Here to access documents from previous meetings

Trade Surveillance SIG (TSS): This group covers trading issues of what can be traded, where it can be traded, which types of firm can trade it and what systems they need to have in place to do so.


  • 5 NovemberOvercoming barriers to integrated surveillance: trade, voice, eComms, conduct and AML
  • 12 March:  Organising lines of defence for surveillance
  • 7 May: False positive reduction ¦ Reducing false positives – the art of the possible
  • 2 July: Conduct, culture and communication surveillance
  • 12th September: AML & Surveillance – Gaps & RegTech opportunity
  • TBC: Voice & Comms
  • TBC: SMCR, eComms,voice & trade surveillance

Please click Here to access documents from previous meetings

Reporting & Reference Data SIG (RRDS): This group covers reporting to regulators including but not limited to transaction reporting, we will get into the details of reporting formats, standards and collection mechanisms as well as data models and gap analysis across comparable regimes.


  • 6 March:  A UK reference architecture for SFTR implementation
  • 30 April: US CAT – overview and interdependencies
  • 27 June: EMIR refit deltas and priorities
  • 3 September: EMIR Refit – leveraging a common domain model for standard interpretation
  • 10 October: EMIR Refit Scope of Work & path forward
  • TBC: CAT & US efforts

Please click Here to access documents from previous meetings

Want to get involved?

Contact us

  • Unit 1.12, 60 Grays Inn Road, London WC1X 8AQ
  • +44 20 7870 8004
  • corrina.stokes@jwg-it.eu