SFTR Webinar Series - 5 things you should know about your clients

Presented by

UnaVista | LSEG, Message Automation | Broadridge Financial Solutions

About this talk

As part of their SFTR preparation process, many firms in the industry will need to know more about their clients in order to prepare adequate plans in place ahead of the deadline in advance of this important regulation. Having a structured approach can, no doubt, help financial institutions to achieve an effective client outreach process necessitated by new regulatory compliance obligations, such as, in this case, SFTR, ensuring a fully tracked, efficient and client-centric approach to collecting data and documentation. In this webinar, UnaVista and Broadridge come together to discuss 5 key components of that outreach that are critical but can sometimes get overlooked, including: • How to get the required reference data (LEI, ISINs)? • Who will generate UTI? • Are they small non-financial counterparties (NFC-)? • Do they have a non-EEA reporting obligation? • Agreeing on the workflow Our panel of experts will also discuss quick polls and answer any audience questions during the live webinar and real-time Q&A session. 11 September 2019 at 3.00pm London | 4.00pm Paris | 10.00am New York Even if you cannot attend on the date, we encourage you to register anyway. The webinar will be recorded and we’ll make the link available to all registrants who are unable to join us live. Expert Panel: • Catherine Talks, Product Manager, UnaVista | London Stock Exchange Group; and • Dean Bruyns, Senior Product Manager, Message Automation | Broadridge Financial Solutions. Hosted by: UnaVista | London Stock Exchange Group

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Videos and webinars to help educate firms on the upcoming regulatory reporting requirements