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The knowledge platform for the financial technology industry

A-Team Insight Webinars

Recorded Webinar: Cross-Regulation Data Consistency and Accuracy

1 November 2022

Regulatory reporting obligations continue to expand, bringing with them more overlaps of data elements across reporting regimes. As many firms struggle with the accuracy and completeness of individual reporting obligations, regulators have increasingly begun to focus on cross-regulation data consistency in their data validations and examination processes.

This webinar will identify cases of data overlap within and across regions, as well as the nuanced nature of these overlaps. It will also discuss the challenges of policing data across regulatory regimes, and review solutions for cross-regulation data consistency and accuracy based on a holistic approach to data management and regulatory reporting.

Listen to the webinar to find out more about:

  • Data overlaps across regulatory reporting regimes
  • Approaches to identifying and understanding overlaps
  • Challenges of data management across multiple regulatory regimes
  • Solutions providing cross-regulation data consistency and accuracy
  • The benefits of getting it right, and the penalties of getting it wrong

Speakers:

Steve Green Executive Director and Head of EMEA Data Office
SMBC Corporation
Brett Utnick Director – Head of US Regulatory Services
BMO Financial Group
Peter Gargone Founder & CEO
n-Tier Financial Services
Moderator: Sarah Underwood Editor
A-Team Group

More about our speakers:

Brett Utnick

Director – Head of US Regulatory Services

BMO Financial Group

Brett is the US Head of the Regulatory Services Group at BMO Capital Markets Corp in coverage of Trade and Transaction regulatory reporting. His career includes opportunities across various Business, Operations, Technology, and Change Management roles and he applies this experience to build teams and develop processes with a complete front to back view. Brett has spent the last decade plus of his career focusing on the regulatory space having successfully delivered digital solutions, developed teams and production workflows, established account architecture, implemented governance and control solutions, as well as large scale remediation programs supporting Equities, Options, Fixed Income, and Financial reporting requirements. Prior to joining BMO Capital Markets Brett had worked at global financial institutions including: Lehman Brothers, Barclays Capital, Macquarie Capital, and RBC Capital Markets.

Peter Gargone

Founder & CEO

n-Tier Financial Services

Peter Gargone is the founder and CEO of n-Tier. With his deep technology background covering development, database design, server optimization and networking, Peter designed and built the firm’s core product offerings: Compliance Workbench and Control Workbench.

Beginning his career at Goldman Sachs as a developer and project manager, Peter has extensive experience with database design, server optimization and networking within the financial industry. He specializes in solving large and complex data challenges that firms face to improve functionality, uptime and scalability.

Prior to founding n-Tier, Peter was Vice President at Donaldson, Lufkin & Jenrette Investment Company, where he managed a team responsible for the firm’s back and middle office technology dealings. During his career at the firm, Peter was awarded the Lane Jacob Award, DLJ’s highest honor awarded to employees, as well as the DLJ Super Achiever Award in 2000.

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