The leading knowledge platform for the financial technology industry
The leading knowledge platform for the financial technology industry

A-Team Insight Webinars

Recorded Webinar: Shareholding Disclosure: Are Financial Firms on top of this regulatory challenge?

22 November 2016

This webinar has passed, but you can view the recording by registering here.

With MiFID 2, Basel, 871(m) and other more talked about regulations making headlines firms have their hands full. However, as regulators begin to focus on systemic risk the accuracy of disclosures is gaining greater attention.

Join this webinar for a discussion on the following shareholding disclosure topics:

  • What the shareholder disclosure requirements are, and why all financial institutions need to address them
  • The current approach – how much is manual vs automated; the use of outside council and advisory services; and the software used to manage the process
  • The reference data that presents the biggest challenges in the reporting process
  • The issues that have led to financial institutions struggling to report and how to avoid them
  • Future areas of investment to get it right
  • Best practices for managing shareholder disclosure obligations

And there is more. During the webinar we will also discuss the results of a recent industry survey focused on how financial institutions are addressing their shareholder disclosure obligations. Register for the webinar and find out how your peers are addressing the challenges.

Speakers:

Moderator: Sarah Underwood, Editor, A-Team Group

Karl Schindler, Head of Content, FundApps

Robert Andric, Director – Global Head Regulatory Shareholding Reporting, Credit Suisse

Kristin Swenton Hochstein, Head of Financial Regulatory Solutions, Thomson Reuters

More About Our Speakers:

Karl Schindler
Head of Content
FundApps

Karl Schindler leads FundApp’s Content Team, an in-house group of dedicated compliance experts. He has over ten years of experience in financial regulation with of some of the world’s largest asset managers, specialising in shareholding disclosure and investment restriction monitoring. He joined FundApps in 2014 and his team is responsible for analysing financial regulation in 85+ jurisdictions.

Robert Andric
Director – Global Head Regulatory Shareholding Reporting
Credit Suisse

36 years old, 16 years working experience in Financial Industry, 14 at Credit Suisse. 10 years in Compliance Department, 8 years in area Regulatory Shareholding Reporting, since 2014 acting as Global Head.

Kristin Swenton Hochstein
Head of Financial Regulatory Solutions
Thomson Reuters

With nearly 20 years of experience, Kristin Swenton Hochstein leads the Financial Regulatory Solutions for the firm’s Pricing and Reference Services group. Kristin’s responsibilities include looking after the Entity Risk business and the broader content across the organization that address the regulatory burden and challenges clients are facing. Prior to this role, Kristin helped drive the launch and success of a new Counterparty and Legal Entity data business for then Reuters. Before Thomson Reuters, Kristin held various senior roles at Dun & Bradstreet, most recently Senior Director in the Credit Risk business.

Kristin is the co-chair of ISITC’s Regulatory Working Group focused on regulations and the impact they have on industry standards. She holds degrees with honors from the University of Richmond in Business and French and from Columbia Business School, where she received an MBA.

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