ESMA have released a new consultation paper for MiFID II / MiFIR in December 2014. This consultation paper includes a number of proposed changes of scope to the MiFID reporting regime.
This webinar in partnership with COO Connect will look to discuss the new points from that consultation and how it will affect the buy-side.
SPEAKERS
The webinar will be moderated by COOConnect founding partner Dominic Hobson, and will include the following panellists:
David Nowell is Head of Industry Relations and Regulatory Compliance at UnaVista, London Stock Exchange Group. He has over 20 years’ financial services experience on both sides of the regulatory fence, having worked previously for the FSA, Reuters and Credit Suisse. At Credit Suisse, he was Transaction Reporting Manager, responsible for ensuring compliance across all aspects of the reporting process and advising on new regulatory requirements. Prior to this, Nowell 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 where he was intimately engaged in policy negotiations with other regulators, giving him a unique insight into the policy making process and the regulators’ expectations of the industry.
Leonard Ng is a financial services regulatory partner in Sidley Austin LLP’s London office. He advises a wide range of financial institutions, in particular investment fund managers, on the ongoing changes to the UK and EU regulatory landscape. Apart from advising clients on UK FCA and PRA issues, Leonard spends a significant portion of his time advising clients on the implementation of MiFID II, the AIFMD, EMIR, MAD II, Short Selling Regulation, Basel III / CRD IV, Solvency II and the proposed regulatory framework for shadow banking. Leonard is a member of the Board of the Managed Funds Association (MFA) and a member of the UK FCA’s Legal Experts Group on the AIFMD; he is a frequent speaker at industry conferences.
