The EU’s MiFID II and other regulations globally have placed greater emphasis than ever on market surveillance, recording of trading communications and records-retention processes in an attempt to stamp out market abuse and boost investor confidence and protections.
This webinar looks at the current state of play in financial markets surveillance, and the conflicts it presents for data privacy. It explores how this situation is playing out in Germany and other jurisdictions with particular sensitivity to data privacy, and in the most affected functions like mobile phone communications. Finally, it offers some suggestions on best approaches to achieving compliance without falling foul of privacy laws.
Co-Global Head of Market Compliance, Global Head of Capital Markets Surveillance, Société Générale.
Société GénéraleLearn more
Paul has led Société Générale’s Global Surveillance program since 2016 and Co-heads the bank’s Global Markets Compliance function. He is responsible for teams and projects encompassing trade and communications surveillance activities, tools and infrastructure at Investment Bank and Group level, along with the development of transformative technologies in the surveillance space.
He has over 20 years of Compliance experience working for tier 1 Investment Banks including UBS and JP Morgan and has held senior and management roles across a range of Compliance disciplines including markets and banking advisory, risk assessment, and latterly surveillance, where he led programs of work at BNP Paribas and Barclays prior to his move to Société Générale
Independent Advisor, Postbank Deutschland.
Postbank Deutschland.Learn more
Started as a FX & Derivatives Trader in 2012, then switched sides and since then working as an Adviser/Consultant in RegTech, Regulatory Compliance Projects with a special focus on Market Abuse, AML/KYC and MiFiDII. Graduated from Magdeburg University with M.Sc. in International Finance and from Tbilisi State University with B.Sc. in International Economics.
Global Head of Financial Markets, Truphone.
Paul is the Global Head of Financial Markets at Truphone. Using his specialist expertise, he is enabling Banks, brokers and investment managers of all sizes to comply with MiFID II by January 2018. Having worked with the world’s largest investment banks, Paul is dedicated to the mission-critical implementation of the only truly international solution, Truphone Mobile.