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Risk Focus holds Roundtable on Regulatory Reporting and Control


Brian at Roundtable 2

On September 13, 2016, inside the Dome Room at 1 Cornhill in The City, London, Risk Focus held an invitation-only Roundtable to promote open dialog amongst regulators, utilities, dealers, and investment managers on topics related to cross-jurisdictional Regulatory Reporting of Derivatives transactions.

The theme of the Roundtable was “Can we streamline and deliver cost effective reporting infrastructure and processes while ensuring compliance with the onslaught of new regulatory demands”, and the main topics were as follows:

  1. Staying ahead of the Regulations – how do organizations stay ahead of the regulatory change and fully identify the synergies and incongruities across them.
  2. Consolidated Operational Framework – how can firms consolidate their regulatory operations teams and maintain strong oversight.
  3. Centralized Infrastructure – Streamlining the infrastructure to serve multiple regulatory demands without losing flexibility and transparency.
  4. Controls, Controls, Controls – Building proactive controls into the process to meet the expectations of all regulators.

Feedback from participants was unanimously positive, so much so that Risk Focus will make this a quarterly event, The Reporting Cost, Control & Compliance Think Tank. The event was run on Chatham House rules so we can’t publish names or details, if you would like to attend a future event please do contact us.

For more information, contact us here.