By Rosalie Ellis, Director of Sales at OneTick
Last week’s Future of Broking Conference, hosted by The Broker Club, brought together some of the sharpest minds in financial services, compliance, and technology. From navigating shifting regulatory landscapes and embracing artificial intelligence to exploring the future of digital assets and workplace culture, the day was packed with invaluable insights.
The event kicked off strong following a networking lunch with welcome remarks from Gavin Williamson, CEO of The Broker Club. This was followed by a thought-provoking opening keynote from PWC's Mark Batten and Peter Churchill entitled, ‘No time to lose: Reasserting UK leadership in financial and related professional services’. It set the perfect stage for a day heavily focused on modernization, risk management, regulatory compliance, and the evolution of capital markets.
Spotlight: The Importance of the Business Wide Risk Assessment
A major highlight for the OneTick KX team was the afternoon panel on "The Importance of the Business Wide Risk Assessment".
Our very own Dermot Harriss, Senior Vice President of Regulatory Solutions at OneTick, took the stage alongside esteemed co-panelists Robin Hobbs (EMEA CRO, Bernstein SG) and Cheryl Lock (Head of Compliance & MLRO, BB Securities). Moderated seamlessly by Simon Tweddle, Founder & MD of Shapes First, the discussion dove deep into the complexities of identifying and managing risk across the entire business.
As market volatility and regulatory scrutiny increase, having a holistic, firm-wide view of risk is no longer a luxury—it is a necessity. Dermot's participation highlighted how crucial it is to have robust, scalable data infrastructure to support these comprehensive risk assessments, ensuring firms can meet strict regulatory regimes like MAR, MiFID II, and SEC rules.
Exploring AI, Regulation, & Market Infrastructure
The mid-afternoon agenda perfectly mirrored many of the conversations we have been having with our clients regarding technology and compliance:
- Regulatory Reporting in Transition: Matthew Vincent of Kaizen led a vital session on navigating the FCA Consultation Paper and ESMA's Call for Evidence, reminding us all that regulatory goalposts are constantly moving and that transparency is vital.
- AI in Financial Services: We also saw a fantastic panel dissecting the "Opportunity, Risk and Regulatory Reality" of AI, featuring experts from AWS (Silvia Prieto), the FCA (Vicki Jordan), Sucden Financial (Daria Efanova), and Fox Williams LLP (Omar Salem). Hearing the regulator's perspective on AI adoption was incredibly validating as we continue to integrate Generative AI and machine learning into OneTick Surveillance.
- One Market, One Infrastructure: The first half of the day wrapped up with a forward-looking panel discussing the transition from retail to institutional infrastructure, featuring leaders from Beeks Group, CME Group, Trading212, and Rothschild and Co.
Digital Assets, Future Trading, & Industry Culture
Following a brief tea and coffee break, the latter half of the conference expanded into new asset classes and vital industry-wide cultural issues:
- Digital Assets in Capital Markets: Moderated by Stephen Elam, this panel explored the growing role of digital assets with insights from Audris Siow (Bitvavo), Nathan Sage (Sage Capital Management), Nick Donovan (Archax), and Sean Lawrence (LTP).
- Designing the Future Trading Experience: Steve Grob moderated an engaging broker panel focused on the future of trading, featuring perspectives from Medan Gabbay (Quod Financial), Will Moody (Tavira Financial), Olivia Mottershead (MFP Trading), and Tony Adams (EXANTE).
- Sexism in the City – Alive and Kicking?: The final, highly impactful panel of the day tackled workplace culture and diversity. Moderated by Terry Sahathevan from Deloitte, the panel brought together Claire Harvey (TP ICAP), Fiona Sainz (Stone X), Sebastian Sayer and Marian Bloodworth (Fox Williams LLP), and Tracie Uddin (Women In Broking) for a critical discussion on the realities facing women in the financial sector today.
Looking Ahead
Conferences like The Future of Broking underscore exactly why we built OneTick: to give tier-1 banks, brokers, and market makers the technological foundation they need to survive and thrive in an increasingly complex market.
If the discussions around business-wide risk assessments or AI-driven compliance resonated with you, the OneTick team is ready to help you future-proof your surveillance and analytics strategies.
Request a private OneTick Surveillance demo here.
Contact us to learn how our advanced, technology-driven solutions can help you manage your regulatory and market data needs.
Best wishes,
