This practical 1 day course conducted by a senior City expert covers regulatory reporting requirements for the three main regulations: EMIR, MiFIR and SFTR.
This training session covers the key challenges encountered by banks, broker dealers, asset managers and hedge funds, key lessons learnt in implementing trade and transaction reporting, and successful remediation of any issues. This workshop covers all aspects of regulatory reporting, from organisational scope, to data validation, data sourcing, counterparty and entity identification, and asset class/instrument identification - and resulting impact to Front, Middle and Back Office processes.
Conducted by an expert who is currently working within the sector and advising different organisations from some key players to smaller companies, the trainer has a very good understanding of challenges that companies are facing and how to effectively overcome them and ensure compliance and operational effectiveness.
What will you learn
By attending this course you will learn about:
- All the key aspects of regulatory reporting, from organisational scope, to data validation, data sourcing, counterparty and entity identification, and asset class/instrument identification - and resulting impact to Front, Middle and Back Office processes.
- Key learnings from implementation of EMIR over the last 6 years, upcoming reporting and margin implications of EMIR REFIT and Unclear Margin Rules, MIFIR over the last 4 years, and implementation of SFTR; benchmarking against peers from the sell-side and buy-side, and resolution of any open questions.
- Real life industry examples of best practices, post-implementation issues, and successful remediation
- Regulatory guidance from the FCA, CSSF, ESMA and other local regulators - post Brexit UK vs EU regulations
- Understand the key impacts to US, EMEA and APAC institutions in scope, and the new regulatory reporting landscape
Course Content
- Regulatory Background to all three regulations
- Scope of entities, counterparties and asset classes for MiFIR, EMIR and SFTR
- Key Reporting Requirements
- Definitions and Data Validations
- Fields Analysis - Instrument, Product, Entity and Personal Data
- Systems and Controls
- Implications for UK, EU and Global Investment Banks and Asset Managers
- Global Regulatory Reporting
- Implementation challenges and lessons learnt
Speakers
The trainer is an industry advisor and regulatory expert with over 20 years of experience in investment banking, asset management regulations and Regulatory Technology (RegTech). He is an industry expert in Financial Regulation, RegTech and Open Banking and covers all the key banking and finance regulations across US, EMEA and APAC including MIFID II, EMIR, CASS, SFTR, IFR/IFD, Dodd Frank, FINMA (SIX), HKMA MAS and SFC, IBOR Transitions, SMCR, and ESG Regulations such as SFDR.
He combines experience in strategic regulatory technology with processes and platform management incorporating risk and governance policies.
His recent key engagements include banks such as HSBC, Deutsche Bank, JP Morgan and Barclays and buy side firms such as T. Rowe Price, Ruffer, M&G and Investec Asset Management, to name a few. He is also a member and advisor of industry association committees for regulatory consultations with bodies such as ESMA, FCA, PRA/Bank of England and SEC.
Kalyan is a highly experienced and result-driven regulatory reporting SME with 20 years of experience in regulatory reporting. Kalyan has achieved regulatory compliance and strengthened reporting for firms such as LGIM, Schroders, Fidelity, PWC, Lloyds Banking Group and Barclays Investment Bank.
Kalyan has extensive experience delivering compliance for capital markets regulations like MiFID II, EMIR, SFTR, AIFMD, SMCR within the Asset Management and Investment Banking. Kalyan has worked at management consultancy firm PWC and advised clients on various regulatory aspects including Regulatory Reporting, Suitability and Appropriateness, Product Governance and remediation. He has worked with senior stakeholders include CFO, COO, Head of compliance, Head of Operations, Head of Product and internal and external legal councils. Kalyan has represented firms in various trade bodies and industry associations like IA, ICMA etc., and has performed in-house and external trainings for various firms.
Who Should Attend
From banks, broker dealers, asset managers and hedge funds:
- Heads of Trading, Investment, Portfolio Management, Operations, and Business Risk
- Heads of Regulatory Reporting, Compliance and HR
- Key Control Functions/Senior Managers in Audit, Compliance, Risk and Operations
