PIMFA
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The MiFIR transaction reporting obligation is more than five years old. Yet despite the maturity of the regime, firms are still struggling to report accurate and complete data to the regulator.
In this FREE 60-minute webinar Kaizen Reporting’s regulatory experts Matthew Vincent and Simon Appleton and PIMFA’s Kevin Sloane will unpack the challenges of reporting accurately, the importance of data quality and meeting regulatory expectations, and provide practical solutions for firms to ensure they are reporting correctly.
Key webinar discussion topics include:
- Common errors in regulatory reports
- How to put the right controls in place
- Consequences of inaccurate reporting
- How to take your reporting from ‘Good’ to ‘Great’
More about Matthew Vincent
Matthew is a leading expert in regulatory reporting with almost 30 years’ experience in finance, including more than 10 years’ experience working in regulatory reporting functions at tier 1 banks.
Matthew is part of our regulatory specialist team as a subject matter expert on MiFIR.
Prior to joining Kaizen, Matthew spent three years at the London Stock Exchange – UnaVista where he was the director of regulatory reporting strategy. This included providing MiFIR reporting subject matter expertise to clients in the UK and EU. Matthew was also Head of MiFID Regulatory Reporting at Credit Suisse for five years, and previously worked for Barclays Investment Bank in the operational compliance team advising on MiFIR transaction and EMIR reporting. He has also worked at Citigroup and Deutsche Bank.
Matthew chaired the UK Finance Transaction Reporting Working Group for more than 10 years.
More about Simon Appleton
Simon has over 30 years’ transaction reporting experience working at regulatory bodies, trading venues and for the last twelve years in a consultancy role helping banks, brokers, asset managers, wealth managers, ARMs and trading venues meet their MiFIR transaction reporting obligations. He is also one of the leading experts on market abuse and surveillance. Simon achieved this by designing and executing bespoke data integrity testing methodologies, pioneering and developing a robust transaction reporting governance and control framework, and assisting firms remediate their transaction reporting issues to avoid enforcement action. During this time Simon provided firms with technical and operational advice as well as preparing and delivering MiFIR transaction reporting and market abuse training, something he will continue to do at Kaizen.
Like Dario, Simon is also alumni of the Financial Conduct Authority’s Transaction Monitoring Unit (TMU) now Markets Reporting Team. Simon was the team’s first employee and spent 13 years developing the UK’s transaction reporting rules, the regulator’s market abuse surveillance system and advised firms on how to transaction report accurately.
