Transaction Reporting - Spotting the Issues; Avoiding the Fines

Over 1000 investment firms got transaction reporting wrong last year according to the FCA. Recent enforcement cases show the regulator isn’t afraid to levy hefty fines. And the latest Market Watch made it clear that, not only is this high on the agenda, the FCA can see your reporting activity and know whether you’ve downloaded what you need for monitoring. Flying under the radar isn’t an option.

So how can fund managers manage their transaction reporting risks in a way that is proportionate yet compliant? 

This briefing will be hosted by regulatory experts Bovill and will cover:

• Common mistakes – the FCA has recently highlighted what they’re seeing. We’ll look at these in more depth and consider other simple errors you can avoid
• Having confidence in your reporting – how to get assurance that your reports are complete and accurate and that you won’t need to carry out painful back reporting
• Looking beyond reconciliation – understanding completeness and accuracy and assessing your broader controls and process governance

Speakers:
Nicola Green, Managing Consultant, Bovill
Damon Batten, Managing Consultant, Bovill

Please note this event is open to representatives of manager firms only.

An invitation code is required to register for this session, please contact the Events Team to request it.

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