Simon AppletonDirector, MiFID II Transaction Reporting Subject Matter Expert
Simon Appleton is a leading expert on MiFIR transaction reporting.
Simon has over 30 years’ transaction reporting experience working at regulatory bodies, trading venues and for the last twelve years in a consultancy role helping banks, brokers, asset managers, wealth managers, ARMs and trading venues meet their MiFIR transaction reporting obligations. He is also one of the leading experts on market abuse and surveillance. Simon achieved this by designing and executing bespoke data integrity testing methodologies, pioneering and developing a robust transaction reporting governance and control framework, and assisting firms remediate their transaction reporting issues to avoid enforcement action. During this time Simon provided firms with technical and operational advice as well as preparing and delivering MiFIR transaction reporting and market abuse training, something he will continue to do at Kaizen.
Like Dario, Simon is also alumni of the Financial Conduct Authority’s Transaction Monitoring Unit (TMU) now Markets Reporting Team. Simon was the team’s first employee and spent 13 years developing the UK’s transaction reporting rules, the regulator’s market abuse surveillance system and advised firms on how to transaction report accurately.
Register for Simon’s MiFIR Transaction Reporting Core Training Courses.