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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.

  • 30 January: RegTech Council 5MLD Registry data project
  • 3 March: AML registry data project 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.

  • 10 December: Data ethics, voice & eComms surveillance
  • 12 March: SM&CR and Surveillance
  • 23 April: SM&CR Guidance for Wholesale Surveillance of Markets, AI & Culture
  • 28 May: Post-COVID SM&CR surveillance audit readiness
  • 9 July: SM&CR wholesale guidance: Sprint 1 (MAR/MiFID)
  • 6 August: Wholesale guidance Sprint 1 MAD/R II & MiFID III consideration

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.

  • 9 January: EMIR Refit – DRR project plan + EC Fitness Check & FCA/BoE DRR update
  • 19 March: European & UK regulatory data plumbing plans
  • 30 April: Jumpstarting the OTC reg reporting 2.0 roadmap
  • 2 June: UK OTC reg reporting project launch
  • 16 July: UK EMIR Article 9 DRR Project Launch

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