2020 and Buy-Side Compliance

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LIVE FIRESIDE CHAT:

2020 and Buy-Side Compliance:
A Year of Awakening and Investment

Your complimentary invite for our live fireside chat on February 18, 2021

Live Fireside Chat

2020 and Buy-side Compliance:
A Year of Awakening and Investment

Your complimentary invite for our live virtual panel on February 18, 2021

Last year RIMES partnered with Greenwich Associates to conduct a market study with the goal of quantifying some of the impacts to compliance and conduct risk felt so strongly across the industry, particularly in regards to trade surveillance and communications monitoring on the buyside.

At 11:00am EST / 4:00pm GMT on February 18, 2021, please join us to hear insights into previously unreleased data points from this recent study, as well as participate in interactive Q&A with our expert panel. Topics covered will include:

• Adoption of in-house vs. third-party technology

• Assessment of current buy-side compliance program efficacy

• WFH transition preparedness and immediate response

• Compliance risk level changes throughout the first 9 months of 2020 across trading, conduct, and communications

• 2021 compliance budget and technology investment expectations

Speakers

	Danielle Tierney Head of Regtech and Risk Research Greenwich Associates
	Scott Burke Regulatory Product Manager RIMES Technologies

Event Details

Thursday, February 18 2021

Duration	45 minutes

04:00 p.m. GMT 11:00 a.m. EST	London New York

Please register even if you cannot attend in order to receive the on-demand recording.

Once registered, joining instructions will be sent to you in due course.

* Note that registration is necessary for this webinar. Due to the nature of our events, this webinar is reserved for end-users only. Registrations using personal email addresses cannot be accepted.

REGISTER HERE »

Last year RIMES partnered with Greenwich Associates to conduct a market study with the goal of quantifying some of the impacts to compliance and conduct risk felt so strongly across the industry, particularly in regards to trade surveillance and communications monitoring on the buyside.

At 11:00am EST / 4:00pm GMT on February 4, 2021, please join us to hear insights into previously unreleased data points from this recent study, as well as participate in interactive Q&A with our expert panel. Topics covered will include:

Adoption of in-house vs. third-party technology
Assessment of current buy-side compliance program efficacy
WFH transition preparedness and immediate response
Compliance risk level changes throughout the first 9 months of 2020 across trading, conduct, and communications
2021 compliance budget and technology investment expectations

Speakers

Bhaven Patel
Director - Xtrackers ETP Capital
Markets Specialist
DWS

Marc Knowles
Head ETF and Indexing
Alpha FMC

Paolo Giulianini
Senior Independent ETF Expert
Former Head of ETF Trading and Advisory
UniCredit and Banca IMI

Andrew Barnett
Global Head of Product Strategy
RIMES

Last year RIMES partnered with Greenwich Associates to conduct a market study with the goal of quantifying some of the impacts to compliance and conduct risk felt so strongly across the industry, particularly in regards to trade surveillance and communications monitoring on the buyside.

At 11:00am EST / 4:00pm GMT on February 18, 2021, please join us to hear insights into previously unreleased data points from this recent study, as well as participate in interactive Q&A with our expert panel. Topics covered will include:

Adoption of in-house vs. third-party technology
Assessment of current buy-side compliance program efficacy
WFH transition preparedness and immediate response
Compliance risk level changes throughout the first 9 months of 2020 across trading, conduct, and communications
2021 compliance budget and technology investment expectations

Speakers