Regtech and Compliance: When Reality Exceeds the Hype

Regtech and Compliance: When Reality Exceeds the Hype - Danielle Tierney

Buzzwords and hot topics in the financial industry wax and wane on a regular basis, but regulatory technology is a rare of example of the importance of a solution space that actually exceeds the industry emphasis. Trade surveillance challenges continue to pose real concern for global financial firms and are being further compounded by additional compliance challenges on the eve of MiFID II implementation. Compliance officers are aware that help is available through the myriad regtech solutions being marketed to all types and sizes of financial firms, but navigating the technology space can be as daunting as addressing the regulation mandates. 

Join Aite Group senior analyst Danielle Tierney for this informative webinar, as she pares down key trade surveillance challenges and presents a roadmap for finding a way through the regtech maze.

Key Discussion Points include the following:

  • Key functions and impacts of today’s compliance departments
  • Imminent regulatory and functional compliance challenges facing buy-sides, sell-sides, and market infrastructure firms
  • Taking of the pulse of real-world firm preparedness levels
  • The Goldilocks problem—looking at the strengths and weaknesses of available solutions and technology
  • Regtech spending trends—analyzing the industry’s current place in the compliance spending cycle


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Regtech and Compliance: When Reality Exceeds the Hype

November 1, 2017
Wednesday, November 1 at 11 a.m. ET

Danielle Tierney is a senior analyst at Aite Group, specializing in the Latin American capital markets and covering equity and derivatives market structure, exchanges, electronic trading, and macroeconomic and regulatory drivers. She also covers buy-side equity research, buy-side macro trends (hedge fund and asset management, ETFs, mutual funds), research portals, and market data.