Attendee Fees: Non-members: £300 (VAT Exempt), Members: £150 (VAT Exempt)
Time: 09:00 - 11:00
Duration: 2 hours
The session will cover the following key areas with the opportunity to ask questions and discuss relevant issues:
• Background to the transaction reporting requirements Setting out why regulators need transaction reports, what they do with the data, headline changes
• General principles and transaction reporting basics Scope, definitions and trading scenarios
• Understanding and navigating through reference data Legal person, natural persons, workshop exercises
• Best practice guidance based on our experience of working with many firms across the industry
Simon Appleton (Director)
Simon is a director in the Regulatory Consulting team and has 31 years’ experience working for investment banks, brokers, regulatory bodies and investment exchanges, including spending 15 years at the FSA and its predecessor organizations. At Duff & Phelps, Simon is responsible for the Firm’s service offering covering trade and transaction reporting, market conduct and trade surveillance, having devised implementation plans and remedial solutions for investment banks, brokers, asset managers, wealth managers, regulated markets and MTFs.
Zach Johnson (Director)
Zach is a director on the Regulatory Consulting team and has over 20 years of experience working in the Financial Services sector across various roles in trading, compliance and professional services. Prior to joining Duff & Phelps in 2010, Zach was Head of Compliance Monitoring at UBS Wealth Management, being responsible for trade and AML surveillance. Prior to UBS, Zach worked within the FSA’s Transaction Monitoring Unit, where he used his knowledge of financial instruments and markets to detect and investigate cases of market abuse and insider dealing as well as advise authorised firms on how to submit accurate transaction reports.