Understanding current reporting regulations

Understanding current reporting regulations

Katelyn Brown (Deloitte), talks at the UnaVista Regulatory Risk Seminar

How consistent and defined is the new ‘global’ regulatory reporting regime and how prepared is the industry? 

  • What are the effective regulatory reporting deadlines and what remains to be defined
  • Areas of alignment and inconsistency
  • Readiness of market: Dealers, Trade Repositories, Market Participants and Buy Side 


What are the new front-to-back processes that Dealers need to implement? 

  • Regulatory control: this isn’t a one-off
  • Best-in-class trade control
  • Operational assurance and compliance – what is it and why is it important?


What is the impact on dealers in terms of the usual trade-offs between cost, control and service?

  • Moving from Day 1 compliance to competitive advantage
  • The cost of ‘doing business’ – the basic service ‘hurdle’
  • Winners and losers – what makes the difference?


Katelyn Brown - Consulting Partner, Deloitte

Katelyn is a Deloitte Consulting Partner with a Capital Markets focus and responsibility for Deloitte’s EMIR/Dodd Frank and Compliance Transformation services.  Her clients include members of the G14 dealers and key market participants.  She co-leads the industry PMO; overseeing compliance with various global OTC derivatives regulatory reporting regimes, including EMIR, Dodd Frank, JFSA, HKMA, MAS and ASIC.  Other client engagements include dealer post-trade reporting, confirmation timeliness, client money segregation, business conduct standards and uncleared margin requirements.  Katelyn is Certified Public Accountant with an MBA from London Business School.