Simon Appleton
Market Abuse & Surveillance Director @Kaizen
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WORK HISTORY
Market Abuse & Surveillance Director @Kaizen
London, GB
Responsibilities include- Conducting Market Abuse Risk Assessments (MARAs) with clients- Assisting with the configuration and calibration of the Market Abuse Surveillance alerts- Advising clients on their market abuse and surveillance related obligations and related controls- Helping clients with their interaction with regulators- Delivering market abuse and surveillance related training- Chairing Market Abuse and Surveillance related roundtables and appearing on similar Panels and at public speaking events- Helping develop Kaizen Market Abuse Assurance (KMAA) solutions and products.
SKILLS
ABOUT SIMON APPLETON
Markets Director with deep knowledge and extensive experience of delivering Market Abuse surveillance, MiFID transaction reporting, pre-trade/electronic and algorithmic trading control programmes at investment banks, trading venues, broking and asset management firms. Specialist in Financial Markets regulation with a strong employment record (Duff & Phelps, Kinetic Partners, SWX Swiss Exchange, Financial Conduct Authority, London Stock Exchange and Kaizen). Over 35 years\' financial services experience working at regulatory bodies, trading venues, a professional services firm and for the last few years in regulatory technology helping a broad range of clients meet their regulatory obligations.Key skills and achievements:Designed and delivered market abuse surveillance systems, risk assessments and health checks across all asset classes to help firms comply with Europe\'s Market Abuse Regulation (MAR).Detected and developed significant and complex market abuse cases. Demonstrated high levels of motivation, excellent judgement, an eye for detail and perseverance in cases leading to criminal and civil convictions.As Head of Exchange Operations at a leading exchange, led the sustainment of a fair and orderly market for several years. This included the oversight of electronic and algorithmic trading.Helped clients future-proof their Transaction Reporting arrangements, accuracy and completeness of reporting and avoid enforcement. Developed the UK\'s Transaction Reporting rules when working for the regulator.Designed and led Regulatory commissioned electronic and algorithmic trading reviews, including the review, testing and tailoring of pre-trade controls to avoid flash crashes.Supervised the compliance of regulations at 55 Financial Services Authority (FSA) authorised firms and achieved “Credit” when passing the Regulation & Compliance Diploma.PRINCE2 qualified to practitioner level, managed the successful delivery of Europe\'s first \'Dark Pool\' trading venue operated by a Regulated Market.
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