As we summarized in our latest Beacon, JWG’s surveillance community has covered quite a patchwork of regulatory obligations over the past 2. In all that time, nothing has pulled all into focus like GameStop.
JWG has been digging beyond the broadsheet news to examine what roars from Reddit chat groups will mean to wholesale and retail surveillance agendas. We’ve also had a look at global efforts to reshape the regulators and dug into the key questions about the FCA’s mandate which is up for debate this quarter. A key question which keeps coming up is: what does all this mean to how firms manage conduct and culture risk?
We thought there would be no better safe space for this discussion than TSS 23 to thrash out the latest views from across the buyside and sell side. Please join us on 16 March as we recap the strategic issues, discuss
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Background materials:
- JWG RegCast 1: 2021 Retail Madness, Digitized Markets and Future Regulatory Responses
- JWG RegCast 2: Digital fixes to broken regulatory machines – a UK case study
- 18 February House Financial Services Committee “Game Stopped?
- 24 February ECON hearing
- JWG RegCast 3: Kitty Roars and senior managers (register here)
Agenda:
- Recap of key surveillance issues
- Conduct and Culture implications
- Current risk categories, KPIs and metrics
- Known, and unknown unknowns
- Next steps
