ISSA 17 Symposium (2014)

Photo ISSA 17 participants

Download of ISSA 17 presentations and reports

Topic Size File

Presentation «Know your Customer – Code of Conduct»
(Case Study Clearstream)
Mark Gem, Chief Compliance Officer, Clearstream

Issue Paper «Transparency in Securities Transaction and Custody Chains»

505 kB

350 kB



Presentation «Know your Customer – Compliance View»
Jens Gebhardt, Financial Crime Compliance, Standard Chartered
364 kB PDF
Presentation «Practical Application of Technology to Solve Regulatory

Kelley Mavros, Booz&Co.
Richard Carl Drisko, Booz&Co.
569 kB PDF
Key-Note address «Today's Regulatory Challenges and Trends»
Mark Branson, Director Swiss Financial Market Supervisory Authority (FINMA)
331 kB PDF
Breakout sessions: (3 topics / 6 groups)
  1. Practical Application of Technology including Centralized
    Client Data Models and other Solution Opportunities
  2. Securities Industry: How to Adapt our Business Model in light of the
    Changing Compliance Environment
  3. Infrastructural Regulatory Challenges
    e.g. CPSS / IOSCO Principles 14 and 19
Breakout sessions: (2 topics / 6 groups)
  1. Out of Network Assets: Deep-dive sessions into the findings listed in ISSA's Report
  2. Collateral Management:Deep-dive sessions into the findings listed in ISSA's Report


704 kB

711 kB




General Assembly    
ISSA 17 Summary Report written by Dominic Hobson
 264 kB


ISSA 17 Recommended next steps    


(C) International Securities Services Association / ISSA