Simon Appleton – Kaizen Reporting

Simon has more than 35 years’ market abuse surveillance and transaction reporting experience working at regulatory bodies, trading venues and, for the twelve years before joining Kaizen, in a senior consultancy role helping investment firms, Approved Reporting Mechanisms (ARMs) and trading venues with their market abuse, surveillance and MiFIR transaction reporting controls and obligations. Simon works with firms to develop robust market abuse and transaction reporting governance and control frameworks to help them avoid enforcement action providing them with regulatory, technical and operational advice as well as MiFIR transaction reporting and market abuse training. Simon is alumni of the FCA’s Transaction Monitoring Unit (now Markets Reporting Team) and was the team’s first employee, spending 13 years developing the UK’s transaction reporting rules, the regulator’s market abuse surveillance system and advising firms on how to report transactions accurately. As one of the leading experts on market abuse and surveillance, Simon was Head of Exchange Operations at SWX Swiss Exchange and headed up their Market Supervision and Control team for several years. Simon has helped a wide variety of firms conduct market abuse risk assessments and, whilst at the FCA, detected, investigated, and developed some significant and complex market abuse cases, including instances leading to criminal and civil convictions.