MiFID II: Regulatory, Risk and Compliance, 29th-30th September 2016

FINANCIAL CONDUCT AUTHORITY AND SOPRA STERIA IN ATTENDANCE

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This two day extended intermediate to advanced level programme will provide delegates with comprehensive training in the latest MiFID II regulatory, risk, compliance and implementation issues. Delegates will be guided through the latest MiFID II operational framework in detail, and will be provided with a critical and explanatory review of the latest draft Level 2 texts published by the European Securities and Markets Authority (ESMA). The conference will also provide extensive guidance on the new MiFID II provisions affecting over-the-counter (OTC) and commodity derivatives, algorithmic trading, dark trades and dark pools. Stephan Hanks, Manager, Markets Policy Division at the Financial Conduct Authority (FCA) will be providing MiFID II implementation insights.

Conference Experts

• Stephen Hanks, Manager, Markets Policy Division, Financial Conduct Authority (Keynote Speaker)
• Magnus Almqvist, Senior Product Specialist, Protegent, SunGard
• Simon Bird, Co-Founder and Managing Partner, Objectivus Financial Consulting
• Sol Steinberg, Founder, OTC Partners New York
• Rodrigo Zepeda, Co-Founder, Storm-7 Consulting Limited

Sopra Steria

Sopra Steria will be discussing their new digital regulatory market data processing platform that they are building for the FCA. Their MiFIR Reporting Workshop may likely cover areas relating to FCA and market participant data feeds, MiFID II transaction reporting validation and storage, validation times, distribution sequence, the external interface specification, message types, testing, beta-testing phase, and the reporting warehouse facility.

Sopra Steria chosen by Financial Conduct Authority to deliver the UK’s largest digital market data processing platform

Financial Conduct Authority

Stephen Hanks is Manager, Markets Policy Division at the Financial Conduct Authority (FCA). He has acquired close to a decade of professional regulatory expertise in his role at the FCA's predecessor organisation, the Financial Services Authority (FSA) and now the FCA. He previously worked on the original negotiations on the Markets in Financial Instruments Directive (MiFID) whilst he was Economic Adviser, Financial Services at HM Treasury (2002-2006). At the end of 2006 he joined the FSA where he worked mainly on wholesale markets issues, including sitting on a number of European Securities and Markets Authority (ESMA) task forces and working groups. At the FCA he has co-ordinated the FCAs work on negotiations on the revised MiFID II framework legislation, and is now also involved in the FCA's work on its implementation. Stephen has undertaken numerous presentations on MiFID II implementation issues including:

• MiFID II Implementation, 2015
• MiFID II and the challenges for markets regulation, 2015
• MiFID II: Investor Protection, 2015
• MiFID II: Where are we? What’s coming? And how to prepare! 2014
• MiFID/MiFIR Implementation – A Forward Look, 2014
• MiFID/MiFIR: Get ready for Round 2, 2014

Conference Key Benefits

■ Delegates will be comprehensively instructed on all the major changes ushered in by the MiFID II framework, including market structure, trade and transaction reporting, position limits and reporting, algorithmic trading, dark pools, third country frameworks, organisational requirements,
investor protection, and compliance technologies.

■ Delegates will hear MiFID II national implementation insights from Stephan Hanks, Manager, Markets Policy Division, Financial Conduct Authority, who will be presenting the keynote speech 'MiFID II: The Final Chapter'.

■ Delegates will hear Sopra Steria representatives discussing their new digital regulatory market data processing platform that they are building for the FCA. Their MiFIR Reporting Workshop may likely cover areas relating to FCA and market participant data feeds, MiFID II transaction reporting validation and storage, validation times, distribution sequence, the external interface specification, message types, testing, beta-testing
phase, and the reporting warehouse facility.

■ Delegates will be guided through the new MiFIR trade and transaction reporting requirements and the transition to reporting under the FCA's new digital regulatory market data processing platform.

■ Delegates will learn how MiFID II will affect financial services firms from
legal, financial, operational, technological and strategic perspectives.  

■ Delegates will be updated on MiFID II business strategies for financial services firms (e.g., minimising operational losses on Return on Equity, changing strategic business directions, minimising the MiFID II negative impact on future profitability); identifying new post-MiFID II ‘hot’ target markets; and  EU market capitalisations strategies (high negative impact on cost-income
ratios, Third-Country Firm passporting, SME growth markets).

■ Delegates will be able to network with industry experts from leading
banks, law firms, investment firms, and consulting firms.

Conference Suitable for

• Back Office
• Buy-Side Firms
• Chief Executives
• Chief Financial Officers
• Chief Risk Officers
• Heads of Compliance
• Compliance Officers
• Compliance Directors
• Data Firms
• Front Office
• General Legal Counsel
• General Managers
• Investment Managers
• Middle Office
• Sell-Side Firms