Shareholding Disclosure: Are Financial Firms on top of this regulatory challenge?

FROM

DataManagementReview.com

November 22, 2016

Welcome to A-Team Group’s webinar:

Shareholding Disclosure: Are financial firms on top of this

regulatory challenge?

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November 22, 2016

Moderator:

Sarah Underwood, Editor, A-Team Group

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November 22, 2016

Panel Member: Karl Schindler, Head of Content, FundApps

Areas of Expertise:

• FundApps' Head of Content, with over 10 years experience in financial regulation and compliance

• Extensive experience in shareholding disclosure and investment restriction monitoring for large asset managers

• Joined FundApps in 2014, his team is responsible for analysing financial regulation in 85+ countries

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November 22, 2016

Panel Member: Robert Andric, Director, Global Head Regulatory Shareholding Reporting, Credit Suisse

Areas of Expertise:

• Global lead of the regulatory shareholding reporting department within compliance at Credit Suisse Group

• Responsible for the disclosure of Credit Suisse Group’s shareholdings in all relevant issues in fulfilment of large shareholder, short-selling, takeover panel and disclosure of interest reporting

• Responsible for management of budget, planning the book of work and IT implementation of system upgrades to meet the introduction of new regulatory reporting requirements and/or to enhance existing reporting functionalities

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November 22, 2016

Panel Member: Kristin Swenton Hochstein, Head of Financial Regulatory Solutions, Thomson Reuters

Areas of Expertise:

• Thomson Reuters Head of Financial Regulatory Solutions, Americas, with nearly 20 years of industry experience

• Proficiency in a range of regulations, including shareholding disclosure, MiFID II, FATCA and others

• Co-chair of ISITC’s Regulatory Working Group focused on regulations and the impact they have on industry standards

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November 22, 2016

A-Team market participant survey on shareholder disclosureShareholder disclosure requirements and regulatory complianceChallenges of complex reference data and data managementHow financial institutions are addressing the challengesSoftware and third-party services supporting shareholder

disclosure Investment to get shareholder disclosure correct and compliantStep-by-step processes to implement a successful solutionKey advice for data practitioners working on shareholder

disclosure

Talking Points

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November 22, 2016

Shareholder disclosure requirements and the regulations that drive compliance

Shareholder disclosure is one of the topregulatory compliance challenges

I currently face

My organisation has experienced issues onoccasions with reporting accurately to

regulators (e.g. administrative errors, ornon-timely reporting)

My organization has faced action fromregulators (e.g. fines for administrative

errors, or non-timely reporting) related toshareholder disclosure

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November 22, 2016

Complexity of data management for shareholder disclosure

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November 22, 2016

How financial institutions are addressing shareholder disclosure

The software to manage this process is We have resources, talent and staff toaddress/manage this regulatory challenge

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November 22, 2016

The balance of automating and manual processing

Our process is too manual and resourceintensive

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November 22, 2016

Reference data challengesWhat reference data presents the biggest

challenge in the reporting process toanalyse and report your shareholding disclosures?

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November 22, 2016

What sort of software and third-party services support shareholder disclosure?

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November 22, 2016

Where do firms need to invest to get shareholder disclosure right?

Our firm intends to invest more in theoperations and technology to

address/support shareholding reporting

If your firm is planning to invest, what arethe areas of priority for investment?

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November 22, 2016

Best practices and step-by-step processes

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November 22, 2016

Successful shareholder disclosure schemes

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November 22, 2016

Advice for data practitioners

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November 22, 2016

Thank you to our sponsor

Contact:

Email: [email protected]

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November 22, 2016

March 15th

DataManagement

SummitLondon

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SummitNew York

Upcoming A-Team Group Events

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November 22, 2016

Upcoming A-Team Group Webinars

December 1st

How to establish a sustainable

solution for data lineage

December 6th

The missing piece of the data

governance puzzle

December 15th

Managing entity data hierarchies

and tracking sanctions across KYC processes

Visit webinars section of DataManagementReview.com

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November 22, 2016

A-Team Group Handbook Series

Visit the data management handbooks section ofDataManagementReview.com

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November 22, 2016

Please take the time to complete our post webinarsurveyWe will notify you when the webinar recording is available

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Date post:	16-Apr-2017
Category:	Data & Analytics
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Shareholding Disclosure: Are Financial Firms on top of this regulatory challenge?

Data & Analytics