Recorded Webinar: The Transformation of Buy-Side Market Surveillance7 July 2020
Asset managers, hedge funds, insurance firms, and other buy-side firms globally are becoming more active in their approach to market surveillance, as regulatory pressure to up their game mounts.
Buy-side firms are now building out their surveillance infrastructure as they seek to respond to the requirements posed by Dodd-Frank, MiFID II and the Market Abuse Directive/Regulation (MAD/MAR).
Unlike larger sell-side firms, whose complexity created challenges for those seeking to implement a holistic approach to market surveillance, many investment management firms are essentially ‘green field sites’, with little or no existing surveillance infrastructure and simpler organisational structures.
This, combined with the broad acceptance of cloud and SaaS technology delivery models, has made it more straightforward for buy-side firms to put in place state-of-the-art surveillance platforms that meet their needs in the face of more rigorous regulatory scrutiny.
Listen to this webinar to learn:
- What changes are driving the need for investment into market surveillance in buy-side firms
- What buy-side firms are doing now to respond and address these challenges
- What lessons the buy-side can learn from the experience from the sell-side on implementing market surveillance practices
- Technologies and platforms that can help you deliver
- Guidance and approaches to establishing a holistic market surveillance infrastructure.
Moderator: Andrew Delaney President and Chief Content Officer
More about our speakers:
UK MLRO and Group Compliance COO
Chris is responsible for the management and development of new regulatory changes that impact the organisation. His team deals with any Compliance / Regulatory aspects across Operations, Front Office and Marketing and Distribution teams. He also oversees management of the control room.
Independent RegTech Advisor
Independent RegTech Advisor and Specialist in Compliance Change Programmes (Trade and Communication Surveillance)
David has spent nearly 4 decades working in financial services, covering Retail, Corporate and International banking, as well as Wealth and Asset Management, in both business and technology roles. He acts in an advisory capacity across the RegTech industry as an independent expert.
Steve joined NICE Actimize as VP EMEA in 2018. He brings with him a wealth of experience, expertise and passion to deliver success for his clients. He has held a number of sales and leadership positions at organisations such as IBM, where he managed the WebSphere business for financial services in the UK, IPsoft, where as managing director for the UK, he was at the forefront of the ‘future of digital work’ with artificial intelligence and cognitive virtual agent technology, and Pegasystems, where he managed their Northern European business, helping successfully guide the organisation to being a leader in digital solutions for customer engagement and relationship management.
Steve has teams across the EMEA region and is based in our London office. He is focused on building valued relationships with our clients, and ensuring that we are aligned to our customers’ business outcomes.
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