Events

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AICPA and SIFMA FMS National Conference on the Securities Industry: Featuring a Webinar on Moving Broker-Dealer Regulatory Data to the Cloud

Event runs October 28-30, 2020, the session will be available on-demand with your registration

Migrating risk and regulatory reporting data to the cloud is turning out to be one of the hottest trends for 2020 – but not everyone is getting it right, and there are pitfalls to be avoided as well positive outcomes to be achieved. Especially in today’s remote working world, Broker-Dealers are facing the challenge of meeting all their compliance requirements and regulatory deadlines – and while that is driving a strong movement towards cloud-based operations, it also throws up some compelling questions around how to make this process as efficient, effective and secure as possible.

Join us to explore important concerns such as:


  • Ensuring alignment with regulator requirements while implementing sensitive non-public information to a cloud infrastructure
  • How vendor-provided cloud solution capability compares to broker dealers’ own private clouds
  • Ensuring ongoing security of highly sensitive risk and regulatory data in a world of ever-increasing integration
  • Balancing the need to embrace change as a differentiator with the inherent risks change inevitably brings


Speakers:

George Parry, Managing Director; CFO and Treasurer (FINOP), Daiwa Capital Markets

John McDonald, Head of Governance, Risk & Compliance – Americas, Amazon Web Services (AWS) – Financial Services Vertical

Eric Rothrock, Senior Vice President, Cloud Product Management, AxiomSL

Moderator:

Harry Chopra, Moderator, Chief Client Officer, AxiomSL


Join AxiomSL’s Webinar – Impending Changes to IFR: As Simple as it Appears at First Glance?

Oct 29 Oct, 2020 at 10 AM BST / 11 AM CEST

Beginning in June 2021, investment firms must comply with the new IFR regulation which, in theory, should simplify their capital and liquidity regulatory burden. But when you delve a little deeper into the new requirements for data collection, categorization, capital calculations, and K-factors, it becomes apparent that IFR needs more than a superficial look.

Richard Moss, AxiomSL Global Product Manager, will provide a succinct overview of the most challenging aspects facing firms as they address the regulatory requirements. This will be followed by a panel discussion of industry experts, moderated by Mahim Mehra, AxiomSL Senior Risk Advisor.

Speakers:

Colm Donnelly, Head of EMEA Prudential Regulatory Reporting, Invesco

Nadeem Aslam, EMEA Head of Regulatory Reporting, BNY Mellon

David Morrey, Head of Investment Management Sector, AxiomSL

Richard Moss, Global Product Manager, Capital, AxiomSL

Moderator:

Mahim Mehra, Senior Risk Advisor, AxiomSL


NOVEMBER 2020
A-team Insight’s RegTech Summit: Featuring a panel dicussion on Regulatory reporting: Global updates and changes – Is your firm ready and how can RegTech help improve efficiency?

Event runs November 16-20, 2020, the session will be available on-demand with your registration


  • How to prepare for changes to EMIR and CFTC reporting re-writes; getting ready for SEC Securities Based Swaps Reporting
  • SFTR, MiFID II, CAT: Implementation experiences and lessons learned from reporting so far
  • Progress around global cross jurisdictional data standards e.g  UPI, CFI, to improve data collection and reporting
  • The role of cloud technologies, machine learning and automation in improving reporting methods and efficiencies


Speakers:

Joshua Beaton, Head of Americas Trade & Transaction Reporting, Morgan Stanley

Malavika Solanki, Member of the Management Team, Derivatives Services Bureau (DSB)

Eric Rothrock, Senior Vice President, Cloud Product Management, AxiomSL

Moderator:

Harry Chopra, Moderator, Chief Client Officer, AxiomSL


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