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8 Best Practices for Regulatory Data Management and Reporting – Upcoming Webinar

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Over the past three years, regulatory data management and reporting have presented financial institutions globally with an escalating set challenges. Amongst these, the inadequacy of data governance frameworks has seen significant enforcement actions against tier-1 firms.

In a joint OCC/Federal Reserve action in 2024, Citigroup faced a $135.6 million fine for persistent deficiencies in risk control and data management, highlighting the consequences of failing to address long-standing data issues.

Another notable challenge is the failure to maintain accurate and complete reporting data records. Goldman Sachs was fined $6 million in 2023 for submitting over 22,000 deficient “blue sheet” reports, affecting at least 163 million transactions. Similarly, JPMorgan Chase incurred a $348.2 million penalty in 2024 for inadequate surveillance of trading activities over a decade, underscoring the importance of robust data oversight.

These enforcement actions illustrate regulators’ growing intolerance for data-quality gaps that impede risk oversight, market-abuse surveillance and investor protection. Institutions that fail to invest in robust data-governance frameworks, lineage, and attestation processes risk substantial monetary penalties and mandatory remediation programmes.

The upcoming RegTech Insights webinar, Best Practice Approaches to Data Management for Regulatory Reporting, hosted by A-Team Group  and sponsored by NICE Actimize, will unpack  these challenges and share insights into effective strategies for enhancing regulatory data governance and reporting accuracy.

The expert industry panel will feature – Emma Kalliomaki, Managing Director, ANNA and the Derivatives Service Bureau; Anuj Agarwal, Director – Finance Head of Data Governance, SMBC Corporation; James Hope-Lang, Data Management Group Data & Analytics, Technology & Services, Danske Bank; Paul Cottee, Director, Subject Matter Expert, Compliance, NICE Actimize.

Join us to explore practical solutions and stay ahead by registering – HERE.

Here’s a closer look at the eight best practice areas the panel will be exploring.

Establishing Robust Data Governance Frameworks

Effective data governance is the cornerstone of accurate regulatory reporting. Establishing clear accountability for data ownership across teams ensures that data is managed consistently and meets regulatory expectations. This expert panel will delve into the foundational elements necessary for a robust data governance framework, including best practices for assigning data ownership and maintaining data integrity.

Enhancing Data Quality Across Business Lines

Maintaining high data quality is critical for reliable regulatory reporting. The panel will explore strategies for improving data accuracy, consistency, and completeness in the short term, as well as methods for sustaining these improvements across different business lines. Attendees will gain practical knowledge on implementing data classification standards and quality controls that align with regulatory requirements.

Fostering Collaboration Between Compliance, IT, and Business Units

Collaboration between compliance, IT, and business units is essential for effective regulatory reporting. The panel will discuss measures to enhance cross-functional collaboration, such as – establishing shared definitions and goals; improving communication channels; integrating compliance requirements into IT and business processes.

These approaches aim to create a cohesive environment where regulatory obligations are understood in context for each business function enabling compliance to become integral to core business processes.

Aligning Data Governance Across Jurisdictions

Global financial institutions face the challenge of aligning data governance frameworks across multiple jurisdictions. The panel will address the main challenges in this area and present best practice approaches for harmonizing data governance policies and procedures internationally. Attendees will learn how to navigate differing regulatory requirements by maintaining a unified data governance strategy.

Measuring Performance of Data Governance and Reporting Processes

Understanding the effectiveness of data governance and regulatory reporting processes is foundational for continuous improvement. The panel will discuss key metrics for measuring performance, such as data quality indicators, reporting timeliness, and compliance rates. By monitoring these metrics, firms can identify opportunities for enhancement.

Streamlining Regulatory Reporting Workflows

Workflow inefficiencies can hinder the regulatory reporting process. The panel will discuss common inefficiencies and describe solutions for streamlining workflows without compromising human oversight. Attendees will learn about automation tools and process optimization techniques for improved efficiency and accuracy in reporting.

Maintaining Data Lineage and Traceability

Data lineage and traceability are crucial for audit and compliance purposes. The panel will cover best practices for maintaining and recording data lineage, ensuring that data transformations are transparent and traceable. This includes implementing documentation standards and utilizing tools that provide visibility into data flows.

Leveraging Emerging Technologies for Regulatory Reporting

Emerging technologies, including the multiple genres of AI, are presenting new opportunities to augment regulatory data management and reporting processes. The panel will explore how these technologies can be leveraged, including by small to medium-sized firms, to enhance data analysis, automate reporting processes, and improve compliance.

Don’t miss this opportunity to hear the latest in regulatory data management best practices – register – HERE.

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