UPDATED Monday 18 December
The Senior Managers Regime (SMR) requires a named person in each financial firm to demonstrate that they are complying with their regulatory obligations. Listen here for our webinar which looked at the SMR in the context of the upcoming MiFID II reporting obligations which go live on 3 January 2018.
Kaizen’s Dario Crispini and Ian Rennie joined UK Finance Capital Markets Director Robert Driver to outline what firms should be doing to inform and protect senior managers to demonstrate effective controls under MiFID II.
Key topics in the webinar included:
- What are some of the key questions that could be asked of you by your senior executive who is responsible for transaction reporting under the SMR
- Where MiFIR fits into the regulatory landscape and what it is attempting to achieve
- The consequences of poor data quality and what controls you need to put in place to be compliant with Article 15 of RTS 22.
- Current industry reporting issues regarding MiFIR
- Steps you can take now to ensure compliance with MiFID II and the SMR.
Date: Wednesday 13 December 2017
Time: 3pm (GMT) for one hour
Kaizen’s award-winning quality assurance service ReportShield™ gives you everything you need to be compliant with transaction reporting requirements under MiFID II. Find out more about our testing and controls.