CSS Regulatory Roundtable Lunch

- The Spencer Hotel Excise Walk, IFSC, Dublin 1, Ireland

Securities Financing Transaction Regulation (SFTR) reporting is rapidly taking shape as firms prepare to report with a phased-in approach from April 2020. Join top SFTRs experts for an examination of key spotlight issues including lessons learned from EMIR & MiFIR, a look at the build vs. buy vs. delegate conundrum, updates on MiFID II and more.

Space is limited, so register now to secure your seat at the event.

Date: Monday 11 November
Time: 12:30-14:45
Location: The Spencer Hotel Excise Walk, IFSC, Dublin 1, Ireland

12:30-12:45

Registration, Welcome Lunch and Introduction to CSS, Kaizen Reporting & Aquest Advisory

12:45-13:45

Regulatory Spotlight: SFTR

  • Latest updates
  • Build vs. Buy vs. Delegate
  • Lessons learned from EMIR & MiFIR
  • Consolidated Reporting and Reconciliation

13:45-14:30

Regulatory Updates:

  • MiFID II
  • EMIR

14:30

Closing Remarks

Nicklas Nilsson

Business Analyst

Nicklas joined CSS in February 2018 as a Business Analyst. He is product owner of the Tradechannel regulatory T+1 reporting module and regulatory specialist covering SFTR, MiFID II and EMIR.

Previously he was a Portfolio Analyst at Wahlstedt Sageryd Financial Services with responsibilities including risk and performance analysis, portfolio valuation and regulatory compliance issues servicing several Nordic hedge funds, mutual funds and insurance companies. Prior to that he acquired experience from the Swedish fund and banking industry as a product specialist at Swedbank and EMIR implementation specialist at SEB.
 
Nicklas holds a degree in Business and Finance from Stockholm Business School.

Jonathan Lee

Senior Regulatory Reporting Specialist (SFTR)

Kaizen Reporting

Jonathan is an expert in a number of regulatory regimes in the transaction reporting, trade reporting, liquidity reporting and prudential supervisory space and spearheads Kaizen’s SFTR service offering.

He has 20 years of front-to-back investment banking experience including 11 years at JP Morgan. Jonathan’s focus over the past five years has been on the emergence of new regulations covering securities financing, money market reporting and collateral reuse. In this capacity, he has been closely engaged with the FSB, ESMA, ECB and Bank of England and has been at the forefront of educational and advocacy efforts in the forthcoming Securities Financing Transaction Reporting (SFTR) regime.  Jonathan is a former chair of both the ICMA ERCC SFTR Taskforce and AFME Primary Dealers Reporting group.

Ronan Brennan

Chief Product Officer

Ronan is the Chief Product Officer at Compliance Solutions Strategies (CSS). In his role, he has direct responsibility for the strategic management of the global suite of CSS products. Managing product in CSS involves ensuring the product suite is ready to support the current and future compliance management and regulatory reporting needs of investment management and advisory firms globally.

Ronan participates as a speaker in many industry events each year, in addition to publishing a company blog and development of thought-leadership materials. Ronan has an Honours degree in Computer Science from Trinity College Dublin (1994) and 25 years of experience in the technology sector, 19 of which have been spent in the investment data management and reporting space.

David Nowell

Senior Regulatory Reporting Specialist

Kaizen Reporting

David Nowell is a leading expert of MiFIR transaction reporting and EMIR trade reporting. He has over 30 years’ financial services experience on both sides of the regulatory fence, having worked previously for the then FSA, Reuters, Credit Suisse and the London Stock Exchange (LSE). David was a Technical Specialist within the Transaction Monitoring Unit at the FSA, where he was responsible for shaping the transaction reporting rules and providing guidance to UK firms. David was the FSA’s representative on transaction reporting in Europe for a number of years and later became a member of ESMA’s Market Data Standing Committee Consultative Working Group.

After working 10 years at the FSA, David became Head of Transaction Reporting at Credit Suisse. David also spent more than six years at the LSE where he was Head of Compliance for UniVista. While there, David introduced an industry accredited diploma training course on the subjects of MiFID and EMIR transaction reporting and now delivers core training for Kaizen on these regulations.

Daniel Lawlor

Founder & Lead Advisor

Aquest Advisory

Daniel Lawlor is Founder and Lead Advisor at Aquest Advisory, a boutique firm that helps improve your experience with the regulator. Prior to establishing Aquest Advisory, Daniel was the Head of the Central Bank of Ireland’s Funds Policy Team. He was involved in designing and drafting investment industry regulatory initiatives in Ireland from 2010 to 2017. Daniel has also experience of the broader international investment industry having represented the Central Bank of Ireland at IOSCO and ESMA committees. He was a member of the FSB’s team for the peer review of Brazil in 2016. Before that, Daniel worked as an investment funds lawyer for nine years at William Fry, one of Ireland’s leading law firms.

We have reached capacity for this event. If you would like to add your name to the wait list, please complete the form below and we will contact you if a slot opens.

Loading form...

Latest Content

Introducing the Regulatory Book of Record (RBOR)

I recently had the opportunity to sit down with our Chief Product Officer Ronan Brennan to discuss regulatory data management in front of an intimate and engaged audience of CSS conference attendees in Scottsdale, Arizona. The group ranged from small fund managers to large institutional asset managers, so it was difficult to boil down the … Continued

SEC Proposes Amendments to Advertising Rules

In a proposal that would mark the first changes since 1961, the SEC has introduced amendments to modify the “Advertisements by Investment Advisers” Rule 206(4)-1 of the Investment Advisers Act. Changes to the rule would allow for testimonials and social media practices beyond that currently allowed, and performance marketing subject to new requirements. Some parts … Continued