ISSA Symposium – 2014

Photo ISSA 17 participants

Download of ISSA 17 presentations and reports

TopicSizeFile
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

PDF

 

PDF

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

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

PDF

 

 

PDF

General Assembly  
ISSA 17 Summary Report written by Dominic Hobson
 264 kBPDF
ISSA 17 Recommended next steps