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

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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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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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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

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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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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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The balance of automating and manual processing

Our process is too manual and resourceintensive

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Reference data challengesWhat reference data presents the biggest

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

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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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Successful shareholder disclosure schemes

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Advice for data practitioners

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Thank you to our sponsor

Contact:

Email: Kristin.hochstein@tr.com

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