ISSA Symposium – 2014

Photo ISSA 17 participants

Download of ISSA 17 presentations and reports

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 kBPDF
Presentation «Practical Application of Technology to Solve Regulatory

Kelley Mavros, Booz&Co.
Richard Carl Drisko, Booz&Co.
569 kBPDF
Key-Note address «Today’s Regulatory Challenges and Trends»
Mark Branson, Director Swiss Financial Market Supervisory Authority (FINMA)
331 kBPDF
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 kBPDF
ISSA 17 Recommended next steps