Register for our webcast with AsiaRisk – Harnessing RegTech for Buy-side Compliance

by | Nov 17, 2017


A combination of regulatory pressures in recent years – most notably the rapidly approaching implementation of MiFID II requirements – has seen buy-side firms facing a number of new challenges and significantly greater accountability in ensuring compliance with global and regional regulations. Be it trade monitoring, trade reporting and transparency, investor protection, the aggregation of pre- and post-trade data or new margin requirements, the sea-change in regulatory responsibilities has made it difficult to effectively implement best practices across the firm.


These regulations have been a key catalyst for technological and operational change for buy-side firms. Growing technological trends like behavioral analytics, behavioral science and multi-channel risk identification are making their way into company infrastructures, prompting firms to re-assess their overall business strategies, especially the areas of market surveillance, data aggregation and collateral management.


However, the implementation of new technologies and an exponential increase in data aggregation can lead to its own obstacles and a significant increase in regulatory risk as well. Hear from two of Nasdaq’s preeminent thought leaders – Michael O’Brien, Global Head of Product Management, Risk & Surveillance and Wendy Jephson, Head of Behavioral Science, Market Technology – about the most pertinent regulatory concerns facing the buy-side and how you can effectively implement new technologies to aid in your mission to remain compliant. Can these challenges be seen as a market opportunity and be turned into business advantages?



 Key topics that will be discussed during the webinar include:


  • Key regulatory demands facing the buy-side as a result of MiFID II, Market Abuse Regulations and others
  • What emerging technologies are most effective in helping your firm tackle these demands?
  • Best practices in implementing new technologies into your firm; What are the main risks?
  • Market structure evolution and upcoming global regulatory mandates
  • What is needed from both a technological and organizational standpoint to meet these challenges?


Interested in more than just the webinar? You can also register for the Nasdaq Buy-Side Compliance Briefing roadshow, which is taking place in Singapore, Hong Kong and Tokyo between November 30 – December 7. 


​Find out more here:



Michael O’Brien

Global Head of Product Management, Risk & Surveillance


Michael O’Brien is the Head of Product Management for the Risk & Surveillance Business at Nasdaq. In this role, Michael is responsible for the expansion of the SMARTS Trade Surveillance product offering and business development programs, as well as driving product development to keep pace with market structure and compliance initiatives.

Previous roles include 10 years at the Australian Stock Exchange (ASX) where Michael served as the Head of Investigations Team for the Market Surveillance Group and Assistant Manager for the Market Surveillance Team, as well as various compliance consultancy roles at global broker-dealers and investment banks.

As a widely recognized expert in surveillance best practices, regulation and compliance technology, Michael is a frequently featured speaker at leading financial industry conferences worldwide. Michael received his Bachelor of the Arts from the University of Technology in Sydney and Bachelor of Finance from the University of New South Wales.

Wendy Jephson

Head of Behavioral Science, Market Technology


Wendy Jephson is Head of Behavioural Science for Buy-side Risk and Surveillance solutions at Nasdaq. Wendy was responsible for the team that combined behavioural science, financial domain knowledge, and advanced analytics into Nasdaq Buy-side Compliance solution’s unique Behavioural Analytics solution.

Wendy’s behavioural science & legal expertise was developed in major corporations such as Eli Lilly and Xerox and through her MSc in Business Psychology. The British Psychological Society and leading business psychologists have recognised Wendy’s expertise in enhancing decision-making skill, applying psychology to the management of risk and the understanding of how physiological factors affect investment behaviour.

For media enquires please contact - Ryan Wells

Managing Director, Corporate Communications

44 (0) 20 3753 2231

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