With the recent increase in regulatory activity around transaction reporting, Qomply’s roundtable event brings together subject matter experts for an industry discussion on MiFID transaction reporting and the issues that continue to challenge firms.
Co-Head Finance Regulatory Grp, Ashurst
Ashurst specialises in complex financial regulatory matters focussing on market infrastructure, matters related to MiFID and cross-border regulatory divergence, market conduct including market abuse and financial crime and regulatory enforcement.
Jake is one of the leading advisors with respect to retail execution only and digital brokerage (including share dealing, share lending, CFD and margin trading, share dealing and bespoke complex products.).
Jake regularly advises firms on their interactions with regulators.
Associate Director, BDO
BDO's Financial Services Advisory conducts specialist market conduct compliance reviews on topics such as: MiFIR trade and transaction reporting; MiFID II costs and charges; product governance; and market abuse.
Having conducted a number of s166s and internal audits, Adam has extensive experience in providing assurance and regulatory advisory services on a broad range of topics.
Prior to working at BDO Adam worked in finance at M&G Investments.
Managing Director, Qomply
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 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.
Michelle Zak will host Qomply’s breakfast roundtable at the beautiful grade-II listed One Moorgate Place.
From three complementary standpoints, the round table discussion will cover topics that all panellists are seeing in their work on regulatory matters
Jake Green, from the law firm Ashurst LLP, regularly advises firms on their interactions with regulators and specialises with respect to FCA governance and conduct matters. Jake is uniquely positioned to share his insight on complex financial regulatory enforcement matters and the more complex aspects of MiFID transaction reporting including cross-border regulatory divergence.
Adam Soilleux, from BDO LLP, will share his insights into the regulatory activity he is seeing and how firms are responding. BDO provides guidance with PRA s166 reviews, transaction reporting, internal audits, and market conduct compliance across the wholesale and capital markets.
Michelle will not only moderate the session but also add context to some of the issues that continue to challenge firms. She will share her insights gained from overseeing a technology company that checks the accuracy of billions of transactions a year.
This exclusive Chatham House roundtable will bring together industry practitioners from across the financial services sector and promises to be an interactive and engaging session.
Places are extremely limited and we request that you only reserve a space if you are certain you are able to attend.
In-person event is now FULL. Please register for live stream webinar here.
One Moorgate Place
Chartered Accountants' Hall,
1 Moorgate Pl,
London EC2R 6EA,
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