Recorded Webinar: Shareholding Disclosure: Are Financial Firms on top of this regulatory challenge?22 November 2016
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.
Listen to 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. Listen to the webinar and find out how your peers are addressing the challenges.
Karl Schindler Head of Content
More about our speakers:
Head of Content
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.
Director – Global Head Regulatory Shareholding Reporting
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
Global Head of Entity Data Services
With more than 20 years of experience, Kristin Hochstein leads Entity Data Services globally within the firm’s Pricing and Reference Services group. Kristin’s responsibilities include looking after the Entity Risk business which encompasses Verified Entity Data as a Service (VEDaaS, formerly Avox) acquired last year. Prior to this role, Kristin helped drive the launch and success of Regulatory Solutions and the former 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 on the board of ISITC and Executive Sponsor for the Regulatory and Reference Data Working Groups focused on regulations, the impact they have on industry standards, and the future of reference data. 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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