Thursday, August 11 2022

DUBLIN–(BUSINESS WIRE)–Regulatory Reporting for EMIR, MIFIR and SFTR training has been added from ResearchAndMarkets.com offer.

This hands-on, one-day course taught by a senior city expert covers regulatory reporting requirements for the three main regulations: EMIR, MiFIR and SFTR.

This training session covers the main challenges faced by banks, brokers, asset managers and hedge funds, key lessons learned from implementing trade and transaction reporting, and successfully resolving any problem.

This workshop covers all aspects of regulatory reporting, from organizational scoping to data validation, data sourcing, identification of counterparties and entities, and identification of asset classes/instruments – and the resulting impact on the Front, Middle and Back Office processes.

Led by an expert who currently works in the industry and advises different organisations, from some key players to small businesses, the trainer has a very good understanding of the challenges businesses face and how to overcome them effectively and ensure compliance and efficiency operational.

what will you learn

By attending this course, you will discover:

  • All key aspects of regulatory reporting, from organizational scope to data validation, data sourcing, counterparty and entity identification, and asset class/instrument identification – and the impact that results on the Front, Middle and Back Office processes.

  • Key lessons learned from the implementation of EMIR over the past 6 years, upcoming reports and implications on margins of EMIR REFIT and uncertain margin rules, MIFIR over the past 4 years and the implementation of SFTR; Benchmarking against sell-side and buy-side peers, and resolution of any open issues.

  • Concrete examples of good practices, post-implementation issues and successful corrective actions

  • Regulatory guidance from FCA, CSSF, ESMA and other local regulators – post-Brexit regulations UK vs EU

  • Understand the major impacts on US, EMEA, and APAC institutions, as well as the new regulatory reporting landscape

Main topics covered during this training

  • Regulatory context of the three regulations

  • Scope of entities, counterparties and asset classes for MiFIR, EMIR and SFTR

  • Key Reporting Requirements

  • Data definitions and validations

  • Field Analysis – Instrument, Product, Entity and Personal Data

  • Systems and controls

  • Implications for UK, European and global investment banks and asset managers

  • Global regulatory reports

  • Implementation challenges and lessons learned

Who should attend:

From banks, brokers, asset managers and hedge funds:

  • Heads of Operations, Investments, Portfolio Management, Operations and Business Risk

  • Regulatory Reporting, Compliance and HR Managers

  • Key Control Functions/Senior Audit, Compliance, Risk and Operations Managers

Main topics covered:

PART 1: CONTEXT AND SCOPE OF THE REGULATIONS

Declaration of MIFIR transactions

  • MIFID II/MIFIR and MAR – Market Transparency, Market Abuse and Transaction Reporting

  • Entities and transactions concerned, ARM

EMIR business reports

  • Introduction to EMIR – OTC Derivatives, Central Clearing, CCP, TR

  • Regulatory factors, Entities concerned, Financial and non-financial counterparties

  • EMIR REFIT, EMIR 2.2

SFTR transaction reports

  • Introduction SFTR – Inventories and Commodities/Securities Borrowing Lending, Repurchase and Secured Loan Funding, Margin Lending, Tripartite

  • Regulatory factors, Entities concerned, Financial and non-financial counterparties, Collateral agreements with non-EU counterparties

PART 2: KEY REPORTING REQUIREMENTS

Declaration of MIFIR transactions

  • Negotiation ability

  • Defining trade execution

  • Trade Lifecycle Scenarios, Order Transmission

  • Reporting exemptions and reportable instruments

EMIR business reports

  • Transaction and position reports, transaction lifecycle action types

  • OTC, Cleared and Listed Derivative Scenarios – Updates for EMIR REFIT

  • Reconciliation with counterparty reporting

  • Asset class specific rules

SFTR transaction reports

  • UK vs EU SFTR

  • Classification, scope and counterparty data

  • Mandatory Delegated Declaration for NFC-

  • Loan and collateral data, margin data and margin reuse/remortgage

PART 3: DECLARATION FIELDS AND VALIDATIONS

Declaration of MIFIR transactions

  • Instrument and underlying identifiers (ISIN, CUSIPS), using ANNA DSB

  • Product Unique Identifiers (UPI)

  • Trade economics, LEI and identification of counterparties

  • Personal data requirements

EMIR business reports

  • Generating and Matching Unique Commercial Identifiers (UTIs)

  • Unique Product Identifiers (UPI), ISIN, AII

  • Trade economics, warranty and valuation data, confirmation details

SFTR transaction reports

  • Information on pensions and day-to-day guarantees

  • Field analysis and reference data, asset class specific rules

  • LEI, UTI and product identifiers

PART 4: KEY CONSIDERATIONS

Declaration of MIFIR transactions

  • Systems and Controls – Regulatory Obligations, Reconciliations with ARM

  • Global regulatory reports

EMIR business reports

  • Systems and Controls – Regulatory Obligations, Inter TR Reconciliation

  • EMIR 2.2 and EMIR REFIT – Scope evolution and upcoming implementations

  • Global regulatory reports

SFTR transaction reports

  • Systems and Controls – Regulatory Obligations, FC vs. NFC, Tripartite and Custody Agreements

  • Collateral Segregation, Rehypothecation

  • Global Securities Financing Regulation

For more information on this training visit https://www.researchandmarkets.com/r/bjpv9v

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