8am - 12pm
6 October 2022
One Moorgate Place, London, EC2R 6EA
Join us in the beautiful, grade-II listed One Moorgate Place, home of Chartered Accountants' Hall, to hear the FCA, Investment Association, KPMG, Kroll, Tradeweb, Qomply and other industry practitioners discuss and share their insights into upcoming regulatory initiatives impacting the Financial Sector.
A Regulatory Clinic and a deep-dive into Transaction Reporting will also be featured during the Conference.
Places are limited so book now to avoid disappointment.
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Stephen has worked on issues related to MiFID since 2002, first at the Treasury and from 2006 at the regulator. Currently he is working on the wholesale markets review, Swiss-UK mutual equivalence and the future regulatory framework.
Director, Business Risk & Resilience
Pauline has spent more than 20 years in the investment management industry seeing industry opportunities and challenges from adviser, in-house and trade body perspectives. Prior to joining the IA, Pauline was a Director at Aviva and Financial Services Partner at Deloitte.
Head of Market Structure & Regulation
Since joining the firm in 2016, Jenn has taken the lead on financial regulatory affairs efforts in Europe and Asia, focused on the fixed income and derivatives markets. She is a member of ESMA’s Secondary Markets Standing Committee (SMSC) Consultative Working Group, a member of the FCA’s Secondary Markets Advisory Committee, and has served as chair of EDMA Europe (Electronic Debt Markets Association Europe). Prior to joining Tradeweb, Jenn worked in government affairs and public policy Goldman Sachs, J.P. Morgan and Credit Suisse.
Director, Capital Markets, Regulatory Insights Centre
Kate provides insights into the regulatory agenda and market developments for financial services firms. In particular, Kate has been monitoring and analysing the impact of EU and UK regulatory changes such as Brexit, LIBOR cessation, MiFIR/MIFID II review and the growing regulatory focus on financial market infrastructure. Prior to KPMG, Kate spent four years supervising large international investment banks at the UK Financial Conduct Authority (FCA) while they were implementing conduct risk programmes, SMCR, MiFID II and planning for Brexit. Kate also has over 10 years’ experience working in compliance, operations and operational risk in large global investment banks.
Senior Vice President, Financial Services Compliance and Regulation
Judy has over 20 years of Compliance experience covering Front Office Compliance Advisory, Compliance Monitoring and Operational Regulatory Compliance. During her time with Kroll, Judy has worked with a number of firms including asset managers, broker dealers and investment banks and exchanges to design, build, review and enhance compliance processes, workflow controls, procedures and documentation mainly in the Markets and Regulatory Reporting space.
Investment Operations Policy Lead
Alex leads policy on investment operations for the IA’s 270 members, notably on the post-trade and trade and transaction reporting workflows. The workstreams in these areas include engagement and advocacy with regulators and working with membership discussion forums and other market stakeholders to establish industry wide best practice and guidance. Alex has 10 years’ experience in the industry having previously worked with BNY Mellon and Goldman Sachs.
Managing Director MiFID II Regulatory Reporting
Uwe Hillnhütter is Head of MiFID II / MiFIR Regulatory Reporting at Tradeweb. He was previously tasked with implementing Tradeweb’s MiFID II / MiFIR program, and spearheading the technical positioning of the firm’s offering in Europe. Prior to this, Uwe was responsible for the Tradeweb interest rate derivative marketplace in Europe. Before joining Tradeweb in 2006, Uwe was overseeing the interest rate swap market making desk at Dresdner Bank AG, Frankfurt. Trained as a wholesale and retail banker, Uwe began his career at DSL Bank, Bonn.
Director Financial Services Compliance and Regulation
Zach has over 20 years of experience working in the Financial Services sector across various roles in compliance and professional services. Prior to joining Kroll (formerly Duff & Phelps, and Kinetic Partners) in 2010, Zach worked at UBS and in the FCA’s Transaction Monitoring Unit. At Kroll, Zach has managed an extensive range of trade and transaction reporting reviews, consulting assignments and remediation projects for clients across a variety of investment firms including asset managers, investment banks, wealth management firms, brokers, inter-dealer brokers and CFD/spread betting firms.
Before joining Qomply, Michelle was Chief Operating Officer at Kyte Broking/Market Securities, a global, mid-size financial firm where Michelle drove the MiFID II implementation at the firm. Over the course of her career, Michelle held various senior leadership positions within investment banking. Having degrees in both Mathematics and Computer Science, Michelle spent several years implementing quantitative trading strategies for the investment banking divisions of BNP Paribas and UBS.
Having started his career at Salomon Brothers, Stuart worked with investment banks such as Credit Suisse, HSBC, BNP Paribas as well as hedge funds such as Bluecrest Asset Management. Stuart has held roles ranging from software developer, business analyst, project manager to operations manager. His expertise is in the development of integrated control frameworks and trade processing systems across asset classes.
One Moorgate Place
Chartered Accountants' Hall,
1 Moorgate Pl,
London EC2R 6EA,
Want to know more or just want to phone us up for a chat?
+44 (0)20 8242 4789