Waters Wavelength Podcast Episode 90: CCOs Talk About AI, Cyber Threats & Real-Time Monitoring

Compliance heads from Guggenheim Partners, Sierra Global Management, J Goldman & Co., and Rimes talk about trends in the regtech space. Anthony and James talk about the Symphony-Bloomberg battle.

waters wavelength

Anthony Malakian, US editor of Waters, and James Rundle, news editor of Waters, record a weekly podcast touching on the biggest stories in financial technology.

This week Anthony and James were at the Buy-Side Technology North American Summit, which was held in midtown Manhattan on October 5. The second half of the podcast is a snippet from a panel that featured chief compliance officers talking about some of the biggest topics in the regtech space. But before that, Anthony and James talk about the chat clash between Symphony and Bloomberg.
2:15 Anthony and James have a laugh at the timing of Bloomberg’s announcement that it is unbundling its chat service from its terminal.
4:20 Why is Bloomberg doing this?
6:00 A look at Symphony’s offering.
7:20 A death blow?
9:00 James and Anthony read some tea leaves.
CCOs and Regtech
14:15 Would you trust machine-learning tools to interpret regulations or other legal data?
17:05 How soon until compliance is less reactionary and more proactive?
19:20 How have cyber threats changed a CCO’s job?
23:15 A question from the audience: If your firm has real-time data for trading are you not setting yourself up for some expectation for why you’re not doing this in real-time for compliance?
[Editor’s note: The recording of this panel was cut up to save time, and to take out parts that were out of context if you weren’t there live.]
Order of speakers at the start of the panel: Joseph Lodato (global head of compliance and surveillance technology—Guggenheim Partners), Craig Peretz (chief compliance, operating and financial officer—Sierra Global Management), Bruno Piers de Raveschoot (chief operating officer, regtech—Rimes), Adam Reback (chief compliance officer—J Goldman & Co).

Contact Info

As is the case with everything we do, we'd love to get some feedback from our listeners. Feel free to reach out to Anthony or James via Twitter or email.

Anthony: @a_malakian; [email protected]

James: @JimRundle; [email protected]


Past 10 episodes:

Episode 80: All About Digital Currencies (And Some Libor, Politics & Game of Thrones)

Episode 81: Fintechs in the Regulatory Crosshairs & Brexit Fallouts

Episode 82: An Examination of ESG & What's New With Reg SCI

Episode 83: Systematic Internalizers & RegTech

Episode 84: Quantum Computing & IBOR/Blockchain

Episode 85: Cybersecurity & Dos/Don'ts for PRs

Episode 86: Nasdaq’s Use of Machine Learning & T+2 Comes to North America

Episode 87: Disaster Recovery & Initial Margin Rules

Episode 88: CBOE's Bryan Harkins, SEC Hack, Esma Proposal

Episode 89: JPMorgan's Oliver Harris on Fintechs; T2S Developments

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