shareholding disclosure: are financial firms on top of this regulatory challenge?
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FROM
DataManagementReview.com
November 22, 2016
Welcome to A-Team Group’s webinar:
Shareholding Disclosure: Are financial firms on top of this
regulatory challenge?
FROM
DataManagementReview.com
November 22, 2016
Moderator:
Sarah Underwood, Editor, A-Team Group
FROM
DataManagementReview.com
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
FROM
DataManagementReview.com
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
FROM
DataManagementReview.com
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
FROM
DataManagementReview.com
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
FROM
DataManagementReview.com
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
FROM
DataManagementReview.com
November 22, 2016
Complexity of data management for shareholder disclosure
FROM
DataManagementReview.com
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
FROM
DataManagementReview.com
November 22, 2016
The balance of automating and manual processing
Our process is too manual and resourceintensive
FROM
DataManagementReview.com
November 22, 2016
Reference data challengesWhat reference data presents the biggest
challenge in the reporting process toanalyse and report your shareholding disclosures?
FROM
DataManagementReview.com
November 22, 2016
What sort of software and third-party services support shareholder disclosure?
FROM
DataManagementReview.com
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?
FROM
DataManagementReview.com
November 22, 2016
Best practices and step-by-step processes
FROM
DataManagementReview.com
November 22, 2016
Successful shareholder disclosure schemes
FROM
DataManagementReview.com
November 22, 2016
Advice for data practitioners
FROM
DataManagementReview.com
November 22, 2016
Thank you to our sponsor
Contact:
Email: Kristin.hochstein@tr.com
FROM
DataManagementReview.com
November 22, 2016
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Upcoming A-Team Group Events
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FROM
DataManagementReview.com
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
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December 15th
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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
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