Kaizen
Simon Appleton is an accomplished professional with extensive experience in market abuse and surveillance, having served as the Market Abuse & Surveillance Director at Kaizen since March 2021. Prior roles include Markets Director at Duff & Phelps, where expertise in regulatory consulting was applied, and Business Change Manager at SWX Europe Ltd, responsible for significant project implementations. Simon also held several key positions at virt-x, including Head of Exchange Operations, where oversight of the exchange platform and market monitoring were paramount. Early career roles included supervisory and analytical positions at the Financial Services Authority and The Securities Association, where Simon contributed to the development of transaction reporting rules and market abuse detection software. Simon holds a foundational education from Hurstmere School.
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Kaizen
Kaizen are regulatory and data specialists on a mission to revolutionise compliance and make it easier for financial firms to work with regulation. By combining regulatory expertise with advanced technology, we’ve developed our award winning automated services for trade and transaction reporting assurance, research and surveillance, shareholding disclosure and our Single Rulebook digital platform. It’s our forensic focus on data accuracy that sets us apart and we are proud to call many of the world’s largest banks, asset managers, hedge funds and brokers as our clients. Kaizen helps clients reduce costs, improve data quality and meet their compliance obligations.