Upcoming Webinar: Cross-Regulation Data Consistency and Accuracy1 November 2022
Date: 1 November 2022
Time: 10:00am ET / 3:00pm London / 4:00pm CET
Duration: 50 minutes
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.
Register for 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
Ling Yin, Managing Director, Head of Regulatory Policy & Implementations, JP Morgan
Brett Utnick, Director – Head of US Regulatory Services, BMO Financial Group
Peter Gargone, Founder & CEO, n-Tier Financial Services
Moderator: Sarah Underwood, Editor,
More About Our Speakers:
Managing Director, Head of Regulatory Policy & Implementations
Ling Yin is a Managing Director and Head of Regulatory Reporting Policy and Implementation at JPMorgan Chase Company (JPMC). She leads JPMC’s U.S. regulatory reporting rules & instructions interpretation and compliance to the U.S. regulatory reporting requirements She also heads the firmwide regulatory reporting trainings that establish framework to provide technical trainings to over 20,000 employees. Ling is a member of JPMC Brooklyn Executive Management Committee that provides oversight and support to over 4000 employees at this strategic site. She is a member of JPMC Asian Executive Forum that promotes diversity and inclusion. Outside of JPMC, Ling serves as the Chair on the Bank Policy Institute (a banking industry forum) Regulatory Reporting Committee leading the banking industry in influencing regulatory rules and requirements with the U.S. regulators. She also serves as a board of trustee to Homeless Solutions Inc. of New Jersey.
Previous to joining JPMC, Ling worked as a director at AIG and as a Regulatory Reporting Leader at GE Capital where she was responsible for both companies’ readiness under the Federal Reserve Bank’s supervisions as bank holding companies. She also served as the technical controller at GE Capital’s Commercial Real Estate business and as the controller of GE Capital International Financing Corp, a bank holding company with over 16 banks in 13 countries around the world. Ling started her career at KPMG LLP as senior manager in the audit in both New York and Zurich Offices. Ling earned a MBA in Accounting and a BA in Banking and Finance. She is a New York State CPA.
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.
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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