After a successful executive roundtable this past April, NICE Actimize and Guidepost Solutions hosted another roundtable recently. Over a dozen surveillance heads from the
Paul Cottee is a Director within the Compliance Line of Business at NICE, based in Hoboken, NJ. In this role, Paul provides subject-matter expertise for over-the-counter (OTC) asset classes and assists in the development and expansion of NICE’s holistic market surveillance product offering.
Paul joined NICE in April 2020 from Nasdaq, where he led the development of surveillance products for FX, Fixed Income and other OTC asset classes. Paul has previously served as Director in Compliance (including Trade Surveillance and Advisory) with global investment banks and asset management firms in New York, Singapore and London; Associate Director in Fixed Income Research with a major investment bank in London; Bloomberg’s EMEA SME for FX, Fixed Income and OTC derivatives (based in London); and Senior Futures Client Advisor and Foreign Exchange Dealer for major global and domestic banks in Sydney. Paul is a frequent speaker at industry conferences worldwide. Paul received his BA in Government and Economics from the University of Sydney and his LL.M from London Metropolitan University.
Widening the Net: SEC Fines Six Credit Rating Agencies
On Wednesday 4 September, the U.S. Securities and Exchange Commission (SEC) fined six Nationally Recognized Statistical Rating Organizations (NRSROs)—aka ratings agencies—for failures to properly
Highlights from the May 2024 Compliance Executive Roundtable
When Financial Services compliance professionals come together to share insights, best practices, and ideas, it benefits everyone. With this in mind, NICE Actimize and
Market Watch 79 – FCA Highlights Failures of Governance in Market Abuse Surveillance
The UK Financial Conduct Authority recently published Market Watch 79 (MW 79), the latest edition of its newsletter aimed at the wholesale markets
Thoughts on The Recent FCA Market Watch Newsletters
The FCA recently published the latest edition of its Market Watch newsletter (MW) 76, in which it revisited concerns about the practices known as