PIMFA
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Transaction reporting is frequently cited as one of the most complex regulatory requirement firms face. The recent substantial fines for transaction reporting breaches have sharpened the focus on this topic and firms of all sizes are now questioning how compliant their own transaction reporting is and what steps they should take to ensure they reduce their regulatory risk. With the FCA taking an increasingly aggressive stance on transaction reporting breaches and initiating investigations on data quality, many firms are wondering what steps they need to take to escape the regulator’s attention.
In this FREE webinar PIMFA and Kaizen Reporting will be discussing why the FCA is so unrelenting in its demands for complete and accurate transaction reporting and what essential steps firms need to take to stay on the right side of the regulator. Key areas of focus include:
- What the regulator expects from firms
- Importance of quality assurance testing
- What ‘reconciliation’ actually means
- How to avoid common pitfalls
- Latest information from the regulator
If you require more information please email learning@pimfa.co.uk.
Please note a maximum of two tickets per ticket type (i.e. member and non-member) can be purchased in one transaction.
