Regulatory Horizon 2022

Finding Stability in an Unpredictable World

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The past two years have been challenging for financial firms thanks to regulatory change, geopolitical shifts, alongside the continuing fallout from the COVID-19 pandemic. What's more, the volatile effect of 'The Great Resignation' means firms are experiencing a talent turnover that creates employment voids within their business.  

In this session, our panellists will offer their views on how we got here and the trends that will shape the next two years. Amongst other topics we will discuss: 

• Equivalence or Divergence: Can you have, and do we need both? What’s the future for MiFID II and AIFMD in the region? Does the UK still hold regional relevance? Are the odds stacked in the favour of divergence?
• The SEC is Serious: Now the new leadership of the SEC have found their bearings, what do we expect to see next in terms of exams and enforcement?
• The New World of Work: Managing people, processes, and technology in a disruptive time.

Speakers:

• Carlo di Florio, Chief Services Officer and former Securities and Exchange Commission and Financial Industry Regulatory Authority official, ACA Group
• Bobby Johal, Managing Director, ACA Group
• Kristina Staples, Managing Director, ACA Group
• Martin Lovick, Director, ACA Group

The Benefits of an Integrated Surveillance Solution

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During this session we will:

• Discuss the challenges caused by the increasing number of disparate data sources
• The creation of efficiencies through integration
• Improved understanding and insight through consistent identifiers
• Increasing reliance on the Control Room

Speakers:

• Marc Salter, Director of Client Development, ACA Group
• Suzan Rose, Senior Advisor, AIMA
   

Transaction Reporting: Man vs. Machine

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When it comes to transaction reporting, 97% of firms are getting it wrong! Is there too much dependence on technology to automate this process. Is there a need for the human touch? We pit man against the machine to find out who or what is the ultimate regulatory reporter!

• Manual vs automation:
  • Round 1: Report submission
  • Round 2: Exception management
  • Round 3: Monitoring and reconciliations
• The final bell:
  • Common and best practice
  • And the winner is…

Speakers:

• Neil Robson, Partner, Katten

• Alex Chow, Investment Operations Policy Lead, The Investment Association

• Charlotte Longman, Director and Co-Lead of the ACA’s Regulatory Reporting Monitoring & Assurance (ARRMA) Service, ACA Group
• Matt Chapman, Managing Director and Co-Lead of the ACA’s Regulatory Reporting Monitoring & Assurance (ARRMA) Service

Emerging Trends in The Cyber Threat Landscape

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Cybersecurity risk is constantly mutating and growing, posing a particular threat to financial services firms, which are 300% more likely to suffer a cyber attack than other sectors. As a result, it remains a top priority for regulators. In this session, we'll examine:

• What are the newest trends in cyber attacks we see today?
• What are the biggest threats right now?
• What do we see becoming future threats?
• How can firms protect themselves today and tomorrow?

Speakers:

• John de Freitas, Senior Principal Consultant, ACA Group
• Scott Richardson, Security Specialist, Apax Partners LLP

The SEC's New Marketing Rule: All Change Please

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With only a few months left before the final compliance date, this session will discuss the SEC’s new Marketing Rule and how firms should prepare. We will discuss the pivotal changes to the SEC’s rules and requirements that firms will need to comply with by November 2022. This session will cover:

• The definition of an advertisement;
• Use of testimonials, endorsements and third-party rankings;
• Use of social media;
• Past specific recommendations; and
• The presentation of performance.

Speakers:

• Crystal Christian, Senior Principal Consultant, ACA Group
• Paul Blandford, Managing Director, ACA Group
   

The Positioning of Private Markets Amid the Great Recovery

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Join our panellists as they discuss how private market firms are positioning themselves in the post-COVID economic recovery and the strains on legal and compliance teams as market dynamics and popular sentiment wax and wane. Can one person truly balance the myriad of regulatory pressures given the growing investment pressures?

Speakers:

• Andrew Poole, Director, ACA Group
• Leonard Ng, Partner, Sidley Austin LLP
• Leon de Bono, Assistant Director General, BVCA
• Magnus Sjöcrona, Global Head of Regulatory & Compliance, EQT Partners

The Dynamic Future of Regulatory Hosting

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With the FCA’s unprecedented focus on the UK’s wholesale regulatory hosting industry in 2021 and continuing in 2022, the future of regulatory hosting is under scrutiny like never before. In this session, our panellists will discuss the evolving role of Principal firms, the anticipated new standards expected of regulatory hosting providers and the welcome enhancements to this important industry solution.

Speakers:

• Tristram Lawton, Managing Associate, Financial Services Regulation,  Simmons & Simmons
• Ron Weekes, Partner & CEO, ACA Mirabella
• Ant Bennett, Head of Sales and Director of Client Development, ACA Mirabella
• Paul Henshaw, Senior Principal Consultant, ACA Group

The Application of an Integrated Surveillance Solution - A RegTech Demo

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During this session we will:

• Discuss the future of integration and the value it could bring
• Interaction of the Control Room with other business function
• Integration of eComms, PAD and MAS

Speaker:

• Matt Winder, Sales Engineer, ACA Group

ESG Regulation: What's Next?

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Environmental, Social, and Governance (ESG) is a fast-growing concern for firms from a strategic, operational, and investor perspective. It’s a subject firmly in the lens of global regulators and politicians alike.

As a result, firms find themselves in a compliance conundrum, balancing a raft of regulations, including SFDR, Taxonomy, SDR, TCFD, and the UK Stewardship, alongside adding ESG metrics to their investment processes to provide for more complete analyses and support better investment decision-making.

In this session, we examine how these mounting pressures impact compliance teams and what the ESG landscape looks like for 2022 and beyond.

Speakers:

• Tim Rowe, FCA's Sustainable Finance Hub
• Ruth Knox, Partner ESG & Impact, Kirkland & Ellis
• Dani Williams, Senior Principal Consultant, Governance Lead, ESG Advisory, ACA Group

Looking Ahead: A Review of FCA & SEC Priorities and What to Focus on in 2022

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In this wrap up session, we will discuss some of the key developments across these two regulatory regimes, which items should feature as priorities on your “to-do” list for 2022, and how firms are responding to increased surveillance by regulators around the world.

Speakers:

• Marian Grace Fowler,  Partner, Investment Funds Regulatory Solutions Group, Kirkland & Ellis LLP 
• Phil Bartram, Partner, Financial Services & Markets Department, Travers Smith
• Ruth Avenell, Director, ACA Group
• Roxana Nadershahi, Senior Principal Consultant, ACA Group