Presenting Speakers
- PJ Di GiammarinoCEO
- Shaun HurstPrincipal Regulatory Advisor
- Rachel WolcottSenior editor, risk and compliance
- Richard BainVice President, Ethics Control Room & Incident Management Team
- Eddie CoganACA Head of eComms Surveillance and Archive
About the Session
Brand-new eComms, voice and chain data sets are now accessible for the 2nd line of defence, but require complex, market insight to spot market manipulation. At the same time, privacy and AI rules are taking a hard look at how ethical some approaches are. How does RegTech help the 2nd line of defence mitigate risks in the right way?
Regulatory Challenges
- FCA 06/22 market abuse and manipulation update here
- FCA 05/22 Market Watch 69 – Observations on market abuse surveillance here
- SEC $80m hacking and trading scheme fine here
- Electronic communications surveillance fines summarised here
- Preventing Financial Crime in Cryptoassets here
- Best execution
- Surveillance policy
- Conduct, culture, AI and data policy