This practical 1 day course conducted by a senior City expert covers all the compliance and regulatory reporting requirements for the EMIR & MiFIR Regulations.
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 reporting and margin implications of EMIR REFIT and Uncleared Margin Rules, as well as for MIFIR.
- You will have a chance to benchmark 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 EMIR and MiFIR
- Scope of entities, counterparties and asset classes for MiFIR and EMIR
- 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
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
