trade/order tracking & time-stamping for regulatory compliance

FROM

IntelligentTradingTechnology.comMarch 16, 2017

Welcome to A-Team Group’s webinar

Trade/Order Tracking & Time-Stamping

for Regulatory Compliance

FROM

March 2, 2017

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FROM


Moderator:

Michael Shashoua, Editor, A-Team Group

FROM


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


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


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


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


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


How much will the new regulation of MiFID II and

CAT change the demands or requirements for

time-stamping in the industry?

FROM


What trading and reporting functions does time-stamping

touch? How may high-frequency traders’ concerns about

time-stamping differ from other parties’ concerns?

FROM


For trade reporting operations, what burdens do

MiFID II’s RTS 25 standards create, particularly for

time-stamping and tracking orders?

FROM


Is MiFID II too reliant on accurate time-stamps? Is the

emphasis on time-stamp accuracy justified and

helpful?

FROM


Are the provisions of MiFID II and CAT concerning

time-stamping very similar or very different?

FROM


Can SROs adequately address clock

synchronization? Is MiFID II’s approach to clock

synchronization better than a SRO-led approach?

FROM


FROM


How reasonable is CAT’s clock synchronization

standard?

FROM


Thank you to our sponsor

Contact:

Dermot Harriss, SVP Regulatory

Solutions,

[email protected]

Tim King, Director of Sales,

[email protected], +44

(0)7956 370 340

FROM


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


Upcoming A-Team Group Webinars

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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


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

http://bit.ly/ITTSignup

trade/order tracking & time-stamping for regulatory compliance

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