With the recent increase in regulatory activity around transaction reporting, Kroll and Qomply's Roundtable will discuss:
- Common errors made by firms across the industry
- Managing remediation projects and interaction with the FCA
- Horizon scanning—possible future changes
8.30am to 9am - Registration and Breakfast
9am to 10am - Panel discussion
10am - 10.30am - Networking
If you cannot see a registration form below, please send an email to email@example.com
Places are extremely limited, and we request that you only reserve a space if you are certain you are able to intend.
Qomply removes the complexity, risk, and pain from transaction reporting. Having over 60 investment firms as clients, Qomply has processed billions of transaction reports so witnessed, first-hand, the challenges faced by firms. Before founding Qomply, Michelle was Chief Operating Officer at a large Interdealer brokerage firm where she drove the MiFID II implementation. Over the course of her career, Michelle has held various senior leadership positions within investment banking.
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.
Snr VP, 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.
Qomply helps firms navigate the complex arena of regulatory compliance.
With companies increasingly counting the financial and reputational cost of inaccurate reporting, there is a sector-wide need for reliable quality assurance. Using automated, granular analysis tools, Qomply’s unparalleled accuracy means that firms can get their reporting right the first time.
By offering affordable, modular subscriptions, we enable financial firms of all sizes to benefit from high-quality, regulatory reporting technology, choosing from a menu to suit all appetites.
For more information, please contact Qomply, on +44 (0) 20 8242 4789 or firstname.lastname@example.org
Want to know more or just want to phone us up for a chat?
+44 (0)20 8242 4789