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Control Risks Lurk at Every Step: Revealing Data and Process Risks in Regulatory

In the world of regulatory reporting requirements, control risks lurk at every step — from data ingestion, enrichment and validation to sign-off and report submission. The pace of regulatory change incited by recent global economic and market disruptions heightens data and process risks no matter what kind of reporting is involved: financial, statistical, liquidity, capital and credit risk, tax, shareholding disclosures, or trade and transaction.

Revealing the risks inherent in regulatory reporting is mission-critical so that financial institutions can strongly control them in their risk and regulatory reporting systems.

The webinar addresses control risks that exist at every step of the regulatory process flow and discussed best-practice mitigants that financial institutions can leverage via AxiomSL’s fully developed risk control framework on ControllerView® platform.

Moderator:
• Harry Chopra, Senior Advisor, AxiomSL

Speakers:
• Abraham Teo, Head of Product, APAC, AxiomSL
• Eli Feuer, Engagement Lead, AxiomSL
•Thangaraja Nadaraja, Partner, PwC Singapore

Host:
• Mike Meriton, Host, Co-Founder & COO, EDM Council
Recorded May 11 2021 57 mins
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Presented by
Harry Chopra (AxiomSL), Abraham Teo (AxiomSL), Eli Feuer (AxiomSL), Thangaraja Nadaraja (PwC), Mike Meriton (EDM Council)
Presentation preview: Control Risks Lurk at Every Step: Revealing Data and Process Risks in Regulatory

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  • Channel
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  • Integrated Risk Model Execution for Changing Market Dynamics Recorded: May 25 2021 22 mins
    Gavin Pugh, Head of Risk Solutions, APAC, AxiomSL | Tracey Mo, VP, Pre-Sales Consultant, AxiomSL
    Integrated Risk Model Execution for Changing Market Dynamics
    As COVID-19 has revealed unexpected flaws in risk models, it is vital to establish a model risk management strategy that is able to adapt to future market conditions driven by economic disruptions, new regulatory requirements and advances in technology.

    Hosted by Asia Risk and AxiomSL, this virtual briefing will provide you with new insights on how the integration of risk model execution can help banks proliferate efficiency, enhance growth, and inform business decision-making.

    Our risk model experts have presented use cases to uncover:

    • How market disruptions driven by COVID-19 have impacted risk model execution
    • How to establish a centralized model inventory to track models for the current validation status
    • Tactics to enhance accessibility and visibility into risk data and model calculations across functions and silos
    • The use of technology to manage risk and data models across complex regulatory landscape
    • Whether the models be built in open source or proprietary, how our framework can present them in one framework
    • How we can help with the challenges posed by the new FRTB rules

    Presenters:
    • Gavin Pugh, Head of Risk Solutions, APAC, AxiomSL
    • Tracey Mo, VP, Pre-Sales Consultant, AxiomSL
  • Solving the Shareholding Disclosures Market | Refinitiv & AxiomSL Webinar Recorded: May 18 2021 52 mins
    Harish Komalam Gopalakrishnan (Refinitiv), Gaurav Chandra (AxiomSL), Maria Ravelo (Refinitiv)
    For shareholding disclosures, the devil is in the market data details. Reference and market data such as shares outstanding, corporate actions, and country of incorporation are essential elements that investment management firms need to calculate shareholding thresholds and identify jurisdictional rules for processing securities.

    But lack of access to a reliable market data source and an accompanying ability for automation are known stumbling blocks that impact the investment management community’s ability to comply with confidence.

    Watch our webinar replay as we take an inside look at how Refinitiv and AxiomSL have partnered to engineer a solution that enables the automatic ingestion of reliable market data from Refinitiv’s DataScopeSelect into AxiomSL’s end-to-end transparent platform for global shareholding monitoring and reporting.

    Speakers:

    • Harish Komalam Gopalakrishnan, Director, Corporate Actions & Shareholding Disclosure, Refinitiv
    • Gaurav Chandra, Shareholding Disclosures – Global Product Manager, AxiomSL
    • Moderator: Maria Ravelo, Director – PRS Product Management, Refinitiv
  • Control Risks Lurk at Every Step: Revealing Data and Process Risks in Regulatory Recorded: May 11 2021 57 mins
    Harry Chopra (AxiomSL), Abraham Teo (AxiomSL), Eli Feuer (AxiomSL), Thangaraja Nadaraja (PwC), Mike Meriton (EDM Council)
    In the world of regulatory reporting requirements, control risks lurk at every step — from data ingestion, enrichment and validation to sign-off and report submission. The pace of regulatory change incited by recent global economic and market disruptions heightens data and process risks no matter what kind of reporting is involved: financial, statistical, liquidity, capital and credit risk, tax, shareholding disclosures, or trade and transaction.

    Revealing the risks inherent in regulatory reporting is mission-critical so that financial institutions can strongly control them in their risk and regulatory reporting systems.

    The webinar addresses control risks that exist at every step of the regulatory process flow and discussed best-practice mitigants that financial institutions can leverage via AxiomSL’s fully developed risk control framework on ControllerView® platform.

    Moderator:
    • Harry Chopra, Senior Advisor, AxiomSL

    Speakers:
    • Abraham Teo, Head of Product, APAC, AxiomSL
    • Eli Feuer, Engagement Lead, AxiomSL
    •Thangaraja Nadaraja, Partner, PwC Singapore

    Host:
    • Mike Meriton, Host, Co-Founder & COO, EDM Council
  • Demystifying the Challenges to IFR (Investment Firms Regulation): The Last Mile Recorded: Apr 14 2021 67 mins
    Stefan Röth (PwC), Dr. Michael Britze (PwC), Peter Krafft (Mizuho Securities), Richard Moss (AxiomSL), Mahim Mehra (AxiomSL)
    Beginning in June 2021, investment firms must comply with the new challenges to IFR, which, in theory, should simplify their capital and liquidity regulatory burden. Given that it is February already, Investment firms will need to delve a little deeper into the new requirements for data collection, categorization, capital calculations, and K-factors. The time is now to unravel complexities and demystify challenges.

    Michael Britze and Stefan Röth, PwC, will provide a succinct overview of the most common pitfalls facing firms as they address the regulatory requirements. This will be followed by a panel discussion of industry experts with live Q&A, moderated by Mahim Mehra, AxiomSL. This will cover pressing questions such as:
    • Can we operate IFR in parallel with our existing CRR requirements?
    • Are we adequately prepared to determine our IFR category based on K-factors and perform the new capital calculations?
    • Does our system enable us to submit reports according to the IFR taxonomy along with the COREP taxonomy for Market Risk?
    • Are we in a position to optimize our balance sheet management and operating model as a consequence of Brexit?

    Speakers:
    • Stefan Röth, Director, Assurance Financial Services, PwC
    • Dr. Michael Britze, Director, Risk & Regulatory IT, PwC
    • Peter Krafft, Chief Financial Officer, Mizuho Securities Europe GmbH
    • Richard Moss, Global Head of Risk Solutions, AxiomSL

    Moderated by:
    • Mahim Mehra, Senior Risk Advisor, AxiomSL
Intelligent data management platform for regulatory & risk reporting
AxiomSL combines deep industry expertise with an intelligent data management platform to deliver regulatory reporting, liquidity, capital & credit, operations, trade & transactions and tax analytics. . We currently serve national, regional and global financial institutions with more than $43 Trillion in Total Assets and Investment Management organizations with over $9 Trillion in Assets under Management. Our global footprint spans 70 regulators across 50 jurisdictions.

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  • Title: Control Risks Lurk at Every Step: Revealing Data and Process Risks in Regulatory
  • Live at: May 11 2021 2:00 am
  • Presented by: Harry Chopra (AxiomSL), Abraham Teo (AxiomSL), Eli Feuer (AxiomSL), Thangaraja Nadaraja (PwC), Mike Meriton (EDM Council)
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