ING has appointed Lisa Walker has its new Head of Compliance for the UK and Middle East, reporting to Simon Berg, Chief Risk Officer for the same regions. Walker previously worked at HM Treasury and the FCA where she managed the relationships with investment exchanges. Most recently, she was Head of Market Regulation at a start-up stock exchange, IPSX. Prior to this, she was Head of Compliance, UK & Europe for Australia and New Zealand Banking Group (ANZ). At ING, she will be responsible for driving the compliance culture within the Wholesale Banking London and Dubai offices and providing strategic regulatory guidance.
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This webinar has passed, but you can view the recording by registering here. How do you effectively screen for sanctions, watch lists and Politically Exposed Persons (PEPs)? Getting it right is essential for complying with regulations like AML, KYC and FATCA, reducing the risk of incurring heavy fines, and keeping your firm’s reputation intact. But...
Transaction Lifecycle Management specialist SmartStream lost a leading light in December with the departure of data guru Peter Moss as CEO of SmartStream RDU, a reference data specialist co-founded back in 2016 with buy-in from Goldman Sachs, JP Morgan, and Morgan Stanley. Now a wholly-owned subsidiary of SmartStream, the reference data utility (RDU) was created...
Now in its 9th year, the Data Management Summit (DMS) in London explores how financial institutions are shifting from defensive to offensive data management strategies, to improve operational efficiency and revenue enhancing opportunities. We’ll be putting the business lens on data and deep diving into the data management capabilities needed to deliver on business outcomes.
The US corporate actions market has long been characterised as paper-based and manually intensive, but it seems that much progress is being made of late to tackle the lack of automation due to the introduction of four little letters: XBRL. According to a survey by the American Institute of Certified Public Accountants (AICPA) and standards...