IA Webinar: MiFIR Transaction Reporting – Developments in the UK and EU

.

Join the Investment Association on Tuesday 12 December for a joint webinar with Kaizen, where MiFIR Transaction Reporting will be discussed, with focus on developments in the UK and EU.

Matthew Vincent and Simon Appleton from Kaizen will discuss with Alex Chow, Investment Operations Policy Lead at the IA, the key announcements made by UK and EU regulators this year and take a look at the changes coming over the horizon that will impact firms.   

Kaizen are regulatory and data specialists who have combined regulatory expertise with advanced technology to provide a wide range of trade and transaction reporting assurance services.

Key topics covered in this webinar include:

• A look back on the year and some discussion around several regulator / market announcements
• A walk through of MW 74
• A horizon scan in both EU and UK vis a vis likely changes to the regulation
• Brief conversation on “market” colour

We will be taking questions throughout the webinar or alternatively you can submit your questions for the speakers when registering.

Who should attend:

Compliance / Regulatory Control Operations / any staff with involvement in MiFIR Transaction Reporting

Alex Chow – Investment Operations Policy Lead, The Investment Association
Alex leads policy at the Investment Association on investment operations, notably on post-trade and trade and transaction reporting. The workstreams in these areas include engagement and advocacy with regulators and working with membership discussion forums and market stakeholders to establish industry wide best practice and guidance for the IA’s 250 members.
Alex has 11 years’ experience in the industry having previously worked at BNY Mellon and Goldman Sachs.

Matthew Vincent, Managing Director, Kaizen
Matthew is a leading expert in regulatory reporting with almost 30 years’ experience in finance, including more than 10 years’ experience working in regulatory reporting functions at tier 1 banks.
Matthew plays a key role in Kaizen’s regulatory specialist team as a subject matter expert on MiFIR.
Prior to joining Kaizen, Matthew spent three years at the London Stock Exchange – UnaVista where he was the director of regulatory reporting strategy. This included providing MiFIR reporting subject matter expertise to clients in the UK and EU. Matthew was Head of MiFID Regulatory Reporting at Credit Suisse for five years, and previously worked for Barclays Investment Bank in the operational compliance team advising on MiFIR transaction and EMIR reporting. He has also worked at Citigroup and Deutsche Bank.
Matthew chaired the UK Finance Transaction Reporting Working Group for more than 10 years.

Simon Appleton, Director, Kaizen
Simon has over 30 years’ transaction reporting experience working at regulatory bodies, trading venues and consultancies. He is also one of the leading experts on market abuse and surveillance.

Prior to joining Kaizen, Simon worked in a consultancy role helping banks, brokers, asset managers, wealth managers, ARMs and trading venues meet their MiFIR transaction reporting obligations. Simon achieved this by designing and executing bespoke data integrity testing methodologies, pioneering and developing a robust transaction reporting governance and control framework, and assisting firms remediate their transaction reporting issues to avoid enforcement action. During this time Simon provided firms with technical and operational advice as well as preparing and delivering MiFIR transaction reporting and market abuse training, something he also does at Kaizen.

Simon is alumni of the Financial Conduct Authority’s Transaction Monitoring Unit (TMU) now Markets Reporting Team. He was the team’s first employee and spent 13 years developing the UK’s transaction reporting rules, the regulator’s market abuse surveillance system and advised firms on how to transaction report accurately.