FROM
IntelligentTradingTechnology.comMarch 16, 2017
Welcome to A-Team Group’s webinar
Trade/Order Tracking & Time-Stamping
for Regulatory Compliance
FROM
March 2, 2017
Join the
Intelligent Trading Technology Online Community
Intelligent Trading Technology is your single destination for knowledge and resources covering trading technology
approaches, trends and challenges as well as all the regulations impacting financial trading technology for the
enterprise.
Join our 17,000 other members - it’s entirely free to join!
Sign up at http://bit.ly/ITTSignup
Membership entitles you to free access to expert unbiased commentary.
We deliver:
Regular weekly updates on the latest news and views
Blogs and commentary
White papers
Surveys and research
Trading technology handbooks
Events
Webinars
Awards
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Moderator:
Michael Shashoua, Editor, A-Team Group
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Panel Member: Bob Mudhar, Partner, Citihub Consulting
Areas of Expertise:
• Have worked in micro structural MiFID II topics since
August 2015 and am currently MiFID II algo
workstream lead for major tier one investment
business is.
• Extensive overlap with HFT record keeping for which a
microsecond precision timestamp is key.
• Heavily involved in interpretation of MiFID II record
keeping requirements and understanding
infrastructure and app changes to meet
requirements
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Panel Member: Jim Northey, Co-Chair, FIX Global
Technical Committee and Former Member of the HFT
Subcommittee, CFTC Technical Advisory Committee
Areas of Expertise:
• Worked on time synchronization and reporting issues
as part of the CFTC HFT Subcommittee – raising
concerns over the ability to synchronize across
venues.
• A co-author of the increased time precision technical
addendum for the FIX standard.
• Implemented monitoring and reporting systems on
behalf of clients to comply with OATS and US
regulatory reporting, now working on MiFID 2 and
CAT.
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Panel Member: Dermot Harriss, Senior Vice President -
Regulatory Solutions, OneMarketData
Areas of Expertise:
• 20 year focus on trading technology, strategies, and
risk management - including compliance risk
management.
• Responsibilities at OneMarketData include our MiFID II
strategy.
• Responsible for the development of our Surveillance
and Best Ex solutions.
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Panel Member: Ian Salmon, Director, IgniteG2M Ltd
Areas of Expertise:
• Ian has played an active role in the FIX MiFID2
subcommittees for Clock Sync and Order and
Record Keeping.
• He's presented at conferences and training courses
on the subject.
• He ran the MiFID1 programme for a major vendor (Fidessa)
• He has been working for the last 18 months with
various technology companies as a regulatory
advisor, specifically on clock sync.
• He is now advising a number of banks and brokers on
their requirements and plans.
FROM
IntelligentTradingTechnology.comMarch 16, 2017
How are MiFID II and US CAT changing time-stamping standards?
What are the key elements of time-stamping for compliance?
How do clock synchronization approaches differ?
Talking Points
FROM
IntelligentTradingTechnology.comMarch 16, 2017
How much will the new regulation of MiFID II and
CAT change the demands or requirements for
time-stamping in the industry?
FROM
IntelligentTradingTechnology.comMarch 16, 2017
What trading and reporting functions does time-stamping
touch? How may high-frequency traders’ concerns about
time-stamping differ from other parties’ concerns?
FROM
IntelligentTradingTechnology.comMarch 16, 2017
For trade reporting operations, what burdens do
MiFID II’s RTS 25 standards create, particularly for
time-stamping and tracking orders?
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Is MiFID II too reliant on accurate time-stamps? Is the
emphasis on time-stamp accuracy justified and
helpful?
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Are the provisions of MiFID II and CAT concerning
time-stamping very similar or very different?
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Can SROs adequately address clock
synchronization? Is MiFID II’s approach to clock
synchronization better than a SRO-led approach?
FROM
IntelligentTradingTechnology.comMarch 16, 2017
FROM
IntelligentTradingTechnology.comMarch 16, 2017
How reasonable is CAT’s clock synchronization
standard?
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Thank you to our sponsor
Contact:
Dermot Harriss, SVP Regulatory
Solutions,
Tim King, Director of Sales,
[email protected], +44
(0)7956 370 340
FROM
IntelligentTradingTechnology.comMarch 16, 2017
February 2nd
Upcoming A-Team Group Events
Visit IntelligentTradingTechnology.com/events
June 8th
Intelligent
Trading
Summit
New York
October 5th
NEW: RegTech
Summit for
Capital Markets
London
November 16th
NEW: RegTech
Summit for
Capital Markets
New York
FROM
IntelligentTradingTechnology.comMarch 16, 2017
Upcoming A-Team Group Webinars
Visit webinars section of IntelligentTradingTechnology.com
April 13th
Connectivity &
Hosting in the
New European
Execution Venue
Landscape
March 23rd
MiFID II: Data
for transaction
reporting
June 1st
High
Performance
Technologies
for Electronic
Execution
FROM
IntelligentTradingTechnology.comMarch 16, 2017
A-Team Group Handbook Series
Visit the trading technology handbooks section of
IntelligentTradingTechnology.com
FROM
March 2, 2017
Join the
Intelligent Trading Technology Online Community
Intelligent Trading Technology is your single destination for knowledge and resources covering trading technology
approaches, trends and challenges as well as all the regulations impacting financial trading technology for the
enterprise.
Join our 17,000 other members - it’s entirely free to join!
Sign up at http://bit.ly/ITTSignup
Membership entitles you to free access to expert unbiased commentary.
We deliver:
Regular weekly updates on the latest news and views
Blogs and commentary
White papers
Surveys and research
Trading technology handbooks
Events
Webinars
Awards