Risk and Compliance webcast

CLICK HERE to listen to the archived webcast
As expected in the wake of the 2008 market crisis, risk management and compliance have emerged as two of the most high-profile business processes across the financial services industry. And while there have been a number of new regulations introduced across the buy side and sell side in recent months - underpinned by more regular and stringent risk management practices - 2012 might well come to be remembered as the year that the bulk of the regulatory updates were deferred, thanks largely due to this being a US presidential election year. This means that 2013 is likely to be the year when planned regulatory projects finally come to be implemented, alongside a general tightening of firms' risk management frameworks, as they work toward developing a risk infrastructure that can deliver near-real-time, enterprise-wide risk views.
* What new risk measures - CVA VaR for example - are buy-side and sell-side firms incorporating into their frameworks in order to generate the best possible picture of their total exposure?
* To what extent are risk management practices contingent on clean, consistent and reliable data?
* Is developing an enterprise-wide view of risk exposure possible without advanced data management techniques and technologies?
* With the prevalence of high-frequency trading across both the buy side and the sell side, what are the challenges facing firms when it comes to managing their risk on a pre-trade basis?
* How are financial institutions and third-party technology vendors going about addressing risk and compliance issues, and how are these practices likely to be affected by new regulations such as those likely to be introduced on the back of Dodd-Frank in the US and Mifid II in Europe?
* If you could have one piece of technology in your infrastructure that would considerably help your risk management processes, what would it be?
Speakers:
- Michael J. Levas, Founder, Senior Managing Principal & Director of Trading, OLYMPIAN GROUP OF INVESTMENT MANAGEMENT
- Zak Martin, Head of Risk Technology & Change, Markets, RBS
- Neil McGovern, Senior Marketing Director, SAP
- Richard Tibbetts, CTO, STREAMBASE SYSTEMS
Moderator: James Rundle, Deputy Editor, Sell Side, WATERS AND WATERSTECHNOLOGY
Only users who have a paid subscription or are part of a corporate subscription are able to print or copy content.
To access these options, along with all other subscription benefits, please contact info@waterstechnology.com or view our subscription options here: https://subscriptions.waterstechnology.com/subscribe
You are currently unable to print this content. Please contact info@waterstechnology.com to find out more.
You are currently unable to copy this content. Please contact info@waterstechnology.com to find out more.
Copyright Infopro Digital Limited. All rights reserved.
As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (point 2.4), printing is limited to a single copy.
If you would like to purchase additional rights please email info@waterstechnology.com
Copyright Infopro Digital Limited. All rights reserved.
You may share this content using our article tools. As outlined in our terms and conditions, https://www.infopro-digital.com/terms-and-conditions/subscriptions/ (clause 2.4), an Authorised User may only make one copy of the materials for their own personal use. You must also comply with the restrictions in clause 2.5.
If you would like to purchase additional rights please email info@waterstechnology.com
More on Trading Tech
Speakerbus goes bust, Broadridge buys Signal, banks mandate cyber training, and more
The Waters Cooler: The Federal Reserve is reserved on GenAI, FloQast partners with Deloitte Australia, UBS invests in Domino Data Lab, and more in this week’s roundup.
Speakerbus ceases operations amid financial turmoil
Sources say customers were recently notified that the trader voice vendor was preparing to file for administration and would no longer be operational.
SS&C withdraws SEC application for clearing exemption
The fintech had been granted exemption in 2015 for SSCNet, a global trade network, that allowed it to provide matching and ETC services.
Standard Chartered CDO on AI, CAT on life support, Paxos files for clearing status, and more
The Waters Cooler: FIX updates MMT, a Finnish datacenter hangs in the balance, and partnerships galore in this week’s news roundup.
CAT on life support after appeals court ruling
Ahead of a comprehensive review promised by the SEC, lawyers believe that the recent overturn of the Consolidated Audit Trail’s funding order could herald its demise.
Paxos files to become SEC-registered clearing agency
The application comes after the blockchain infrastructure company completed a pilot in 2021 to test its settlement service.
Risk mitigation in round-the-clock trading
Tied closely with shortened settlement times, overnight trading poses operational and technical risks, writes Sergey Samushin, head of exchange solutions at Devexperts, in this guest column.
Genesis CEO steps down, Wells Fargo deploys agents, DTCC sells Report Hub, and more
The Waters Cooler: MarketAxess has enhanced its dealer-initiated protocols, EquiLend launches a market intelligence tool powered by AI, and the summer heat fuels fury over market data prices in this week’s news roundup.