Regulatory Focus Day

8:45 Chair’s Welcome Address Chris Johnson, Head of Product Management, Market Data Services, , HSBC Securities Services Chair’s Welcome Address Chris Johnson Head of Product Management, Market Data Services, , HSBC Securities Services Chris joined HSBC Securities Services in August 2006 and is the Head of Product Management, Market Data Services.  Chris was previously at Threadneedle Investments where he was Head of Investment Information Services.  Before then he was a Director at UBS managing the business content aspects of their data management programme.  Chris started work in the city with Laurie, Milbank stockbrokers, in [read more]

9:00 A Practical Look At Financial Data Regulation: What Works, What Doesn’t & How Could Things Be Changed? Ruben Lee, CEO, Oxford Finance Group A Practical Look At Financial Data Regulation: What Works, What Doesn’t & How Could Things Be Changed? Ruben Lee CEO, Oxford Finance Group Ruben Lee is the CEO and Founder of Oxford Finance Group, a research and consulting firm which concentrates on business, economic, legal, political, regulatory and strategic aspects of financial markets. His clients include international finance organisations, governments, regulators, exchanges, clearing and settlement organisations, broker-dealers, data vendors, custodians, fund managers, commerc [read more]

9:45 Overview Of The Goals, Challenges & Roadmap For Effective & Effective Regulation: Market Data & MiFID II Overview Of The Goals, Challenges & Roadmap For Effective & Effective Regulation: Market Data & MiFID II Karel Lanoo, Chief Executive, CEPS Karel Lanoo Chief Executive, CEPS Karel Lannoo (°1961) has been chief executive of the Centre for European Policy Studies (CEPS) since 2000 and senior research fellow since 1997. CEPS is one of the leading independent European think tanks, with a strong reputation in economic and foreign policy research. It has total revenues of € 6 million (2010) and employs about 50 persons.He has published some books and numer [read more]

10:20 Panel Discussion: Building The Necessary Regulatory Framework For Strategic Data Management: Challenges & Opportunities Chris Johnson, Head of Product Management, Market Data Services, , HSBC Securities Services Julia Sutton, Director, Head of Customer Data, Deutsche Bank Marc Berthoud, Vice Chairman, , FESE (Federation of European Securities Exchanges) Economics & Statistics Committee Panel Discussion: Building The Necessary Regulatory Framework For Strategic Data Management: Challenges & Opportunities Chris Johnson Head of Product Management, Market Data Services, , HSBC Securities Services Chris joined HSBC Securities Services in August 2006 and is the Head of Product Management, Market Data Services.  Chris was previously at Threadneedle Investments where he was Head of Investment Information Services.  Before then he was a Director at UBS managing the business content aspects of their data management programme.  Chris started work in the city with Laurie, Milbank stockbrokers, in [read more] Julia Sutton Director, Head of Customer Data, Deutsche Bank Marc Berthoud Vice Chairman, , FESE (Federation of European Securities Exchanges) Economics & Statistics Committee Marc Berthoud has been acting as deputy head of SIX Swiss Exchange’ Index & Data Products Division since 2002 and has been recently promoted as Executive Director. Marc is driving projects in the area of market data and analytics. He coordinated the Quote Quality Metrics (QQM) service development on behalf of Scoach in 2009, enabling the ongoing assessment of market making quality [read more]

11:00 Morning Coffee Morning Coffee

11:30 Establishing The Legal Entity Identifier Globally – Goals & Next Steps For The Industry Francis Gross, Head of External Statistics, Directorate General Statistics, European Central Bank Establishing The Legal Entity Identifier Globally – Goals & Next Steps For The Industry Francis Gross Head of External Statistics, Directorate General Statistics, European Central Bank Download Matthew Cox's presentation on "Effective Data Standardisation across Financial Services: Utility and other Approaches"November 2010 Francis’ Division, located within the Directorate General Statistics of the ECB, is responsible for the external statistics of the euro area (balance of payments, international investment position, foreig [read more]

12:00 MMT – The industry solution for Pan-European trade flag standardisation Marc Berthoud, Vice Chairman, , FESE (Federation of European Securities Exchanges) Economics & Statistics Committee Marc Berthoud Vice Chairman, , FESE (Federation of European Securities Exchanges) Economics & Statistics Committee Marc Berthoud has been acting as deputy head of SIX Swiss Exchange’ Index & Data Products Division since 2002 and has been recently promoted as Executive Director. Marc is driving projects in the area of market data and analytics. He coordinated the Quote Quality Metrics (QQM) service development on behalf of Scoach in 2009, enabling the ongoing assessment of market making quality [read more]

12:30 Do not sit where 800 pounds gorillas sit - the regulators enter the data space Rudolf Siebel, Managing Director , BVI German Investment and Asset Management Association - Increased regulatory focus on (micro) data regulation following the finacial crisis: - Systemic risk prevention (in the US FSOC/OFR, in the EU FRSB/ECB) - for starters: LEI as a frist step towards a G20 reference data utility - MiFID2 ( integration of trading venue data and trade reporting for equities and non-equities) - EMIR (trade repositories) - UCITS IV (notification process for cross border fund sales) - EU competition law and financial services data (ISIN, RIC, MARKIT code cases) Rudolf Siebel Managing Director , BVI German Investment and Asset Management Association Rudolf Siebel is responsible for legal and regulatory affairs, fund industry standards and market research at BVI, the German asset management and fund industry trade association. Mr. Siebel represents the interests of the asset management industry on the advisory board of the German financial services regulator BaFin. He is a deputy member of the Board of Directors of the European investment fund [read more]

13:00 Lunch No session description available.

14:00 Achieving the necessary level of transparency in the new world Richard Newbury, Market Development Manager, SIX Telekurs The world of financial services has changed dramatically since the crisis of 2008. Regulators and governments have been busy re-grouping and new regulations have been issued. Although the aims of much of the regulation are investor protection and capital adequacy, the way in which firms can reach those goals needs similar tools for man regulations: the need for greater transparency into holdings data, transparency into processes and transparency into client data.SIX Telekurs can help with transparency in areas of instrument data which have never needed transparency before. We have our own award winning reference data and partner with other firms to provide information in a structure which shines a light into the deepest recesses of data. Richard Newbury Market Development Manager, SIX Telekurs Richard Newbury rejoined SIX Telekurs in February 2009 having spent almost a year working at Barclays Global Investors as the UK manager of their Data Operations team. He originally joined SIX Telekurs’s UK office as Head of Product Services in June 2004 and took on the role as Head of Product Management in mid-2007. Richard lead SIX Telekurs’ involvement in a wide range of industry initiatives su [read more]

14:30 Solvency 2 Data Management Implications And Their Likely Relevance To Other Regulatory Initiatives Chris Johnson, Head of Product Management, Market Data Services, , HSBC Securities Services Solvency 2 Data Management Implications And Their Likely Relevance To Other Regulatory Initiatives Chris Johnson Head of Product Management, Market Data Services, , HSBC Securities Services Chris joined HSBC Securities Services in August 2006 and is the Head of Product Management, Market Data Services.  Chris was previously at Threadneedle Investments where he was Head of Investment Information Services.  Before then he was a Director at UBS managing the business content aspects of their data management programme.  Chris started work in the city with Laurie, Milbank stockbrokers, in [read more]

15:00 Keynote Guest Address: Addressing The Challenges Of Developing Effective Industry Regulation – Looking Into The Future Dr Kay Swinburne, MEP, Economic and Monetary Affairs Committee Addressing The Challenges Of Developing Effective Industry Regulation – Looking Into The Future Dr Kay Swinburne MEP, Economic and Monetary Affairs Committee

15:30 Afternoon Coffee

16:00 Sponsored Presentation Sponsored Presentation

16:30 Overview of EDM Council’s Current Goals & Perspectives On Reference Data Regulation: Client Counterparty, Financial Instrument & Other Regulatory Innovations Mike Atkin, Managing Director, EDM Council Overview of EDM Council’s Current Goals & Perspectives On Reference Data Regulation: Client Counterparty, Financial Instrument & Other Regulatory Innovations Mike Atkin Managing Director, EDM Council Mike has been a professional facilitator and financial information industry advocate for over 20 years. He is currently the Managing Director for the Enterprise Data Management Council – a business forum for financial institutions, data originators and vendors on the strategy and tactics of managing data as an enterprise-wide asset. Mike is an active participant in standards initiatives and has be [read more]