The regulatory reporting obligations of financial institutions have mushroomed in scale over the past decade, leaving firms facing a raft of different requirements to provide increasingly granular metrics on their transaction, valuation and collateral data to a number of regulatory authorities. While many of these reports draw from the same core data set, the nuanced differences in requirement across regulatory jurisdictions is creating a complex, highly fragmented and administratively burdensome challenge for many financial institutions, particularly those with activities in multiple jurisdictions. Today Tier 1 or Tier 2 buy- and sell-side institutions need to provide a significant number of reporting data fields to licensed trade repositories to meet their obligations under a range of reporting regulations – ASIC, CFTC, EMIR, HKMA, MAS, MiFID II, SFTR – across global markets in credit, commodities, equities, foreign exchange, interest rates and exchange-traded derivatives. For regulated entities, the challenge is to report as efficiently as possible, ensuring consistency across the relevant regulatory jurisdictions, minimizing risk of misreporting, and centralizing audit trails and exceptions management. This webinar looks at the challenges facing institutions as they seek to establish an integrated approach to regulatory risk reporting. It discusses the specific issues facing both buy- and sell-side institutions, and includes examples of how firms have approached trade reporting across the key regulations they face. In particular, the webinar will address best practices for establishing a full reporting work flow including: -Data management -Submission -Reconciliation -Monitoring

1. Welcome to A-Team Group’s webinar
Best Practices for Integrated Regulatory
Reporting Across Multiple Jurisdictions

2. https://a-teaminsight.com/sign-up

3. Moderator:
Andrew Delaney, Chief Content Officer, A-Team Group

4. Panel Member: Nick Grist, Head of Regulatory Reporting,
SMBC Europe
Areas of Expertise:
• Head of Regulatory Reporting EMEA, overseeing
reporting within 12 different countries and their
regulators
• Responsible for prudential regulatory change across
• Previous industry experience in delivering regulatory
process change at RBS, and on the advisory side with

5. Panel Member: Dawd Haque, Global lead for Regulatory
Market Initiatives, Transformation & Strategy, Deutsche
Areas of Expertise:
• Complex derivative structuring, pricing and
• Financial regulation interpretation for investment
• Extraterritorial regulation interpretation and impact
investment banking
• Investment banking advocate with regulators, trade
associations, peers and clients
• Financial Industry standards for investment banking

6. Panel Member: Julian Chesser, Managing Director,
MarkitSERV, IHS Markit
Areas of Expertise:
• Julian started at JP Morgan in various operational and
management roles across locations in Europe and US.
• He spent 9 years at Fidelity International as front office
Fixed Income. There he was accountable executive for
initiatives including trading and compliance platform
launching an Emerging Markets business and supporting
exceptional growth from $25bn AUM to $70bn +.
• Since then he has retained a strong network of execs
buy-side and is active within IHS Markit and broader
reflect their strategic interests.

7. Panel Member: Struan Lloyd, Executive Director, MarkitSERV, IHS
Markit
Areas of Expertise:
• Struan Lloyd, based in Singapore, is an Executive Director
• Prior to joining IHSM, Struan was part of the DTCC
repository start up team in APAC as Head of the TR
Management team and more recently headed up CME’s
trade repository business.
• Struan began his career at Citigroup in London in 1998,
managing various Operations and change management
before moving into the trade reporting space.
• Joining IHSM in 2019, Struan is the commercial lead for
Markit’s Integrated Reporting solution. He has
expertise in G20 reporting, post trade services and OTC

8. The key functional challenges for those seeking to implement solutions.
The regulations requiring most action / attention from a reporting standpoint
for sell-side and buy-side institutions.
Holistic / integrated approaches to meeting their regulatory reporting
obligations.
The drivers and key considerations when taking an integrated approach.
How are firms seeking to standardize submissions.
The data management challenges when taking an integrated approach.
What are the next set of challenges on the horizon?
Talking Points

9. Broadly speaking, what are the key functional
challenges for those seeking to implement solutions to
the wide range of regulatory reporting requirements
they face?

12. What are the top 3 regulations requiring most action /
attention from a reporting standpoint for sell-side
institutions?

13. What are the top 3 regulations requiring most action /
attention from a reporting standpoint for buy-side
institutions?

14. To what extent are firms from either side of the fence
seeking to implement a holistic / integrated approach to
meeting their regulatory reporting obligations?

15. Is this a new development? What have been the drivers?

16. What are the key considerations when taking an integrate
approach?

17. How are firms seeking to standardize submissions?

18. What are the data management challenges when
taking an integrated approach?

20. How are firms handling reconciliations?

22. Once they’ve established an integrated reporting
mechanism, how are firms monitoring performance?

24. What are the next set of challenges on the horizon?

25. Thank you to our sponsor
Struan Lloyd Executive Director, Commercial | MarkitSERV
Direct: +65 6922 4323
Mobile: +65 9835 3674
struan.lloyd@ihsmarkit.com

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28. Upcoming A-Team Group Webinars
Visit webinar section of
A-TeamInsight.com
9th June – Overcoming the Barriers to Implementing
RegTech
Solutions: The View from Either Side of the
Fence
9th July – The Transformation of Buy-Side Market
Surveillance