Standard Tuition $400 US
Senior Fellow John Schneider, CPA, Partner, KPMG
The global regulatory reporting practices panel is designed to provide insights into the global regulatory reporting techniques and the benefits of having a formal process to ensure the completeness, accuracy and comparability of reporting that is required by regulators globally. For asset managers with global reporting requirements the repeatability of processes and the reporting is daunting and challenging. The global requirements that many managers are responsible for include systemic risk reporting to satisfy the requirements of the Alternative Investment Fund Management Directive (AIFMD), Dodd-Frank Form PF and the CFTC CPO-PQR to name a few. Although the requirements have certain similarities they have certain unique reporting obligations causing the processes and procedures to address a significant amount of complexity.
The objectives for the panel are to provide a practical approach and insights on global regulatory reporting. This panel will provide guidance about the various reporting requirements (e.g., AIFMD, Form PF, CPO-PQR) and provide insights on how investment managers are developing practices that efficiently and effectively provide reporting. The focus will be to examine how managers are developing repeatable practices that provide complete and accurate reporting. In addition, the panel will discuss the comparability of the various reporting requirements from the perspectives of the manager and the regulators.
Students shall learn the following within this class session:
- Risks associated with regulatory reporting
- Regulatory reporting policies and procedures
- Regulatory reporting inventory and calendar
- Various reporting requirements: AIFMD, Form PF, FATCA, CPO/PQR, TIC, etc.
- ADV reporting and disclosure
- Questions regarding PF filings
- Examples of noise in the data received
- MIDAS, NEAT and regulatory filings and the impact on the examination process
- Operations and Infrastructure
- John Schneider, CPA, Partner, KPMG
Session Speaking Faculty:
- Jennifer Duggins, SVP, Chief Compliance Officer, Chilton Investment
- Kathleen Olin, JD, Chief Compliance Officer, Indus Capital Partners
- Robert Mirsky, JD, Partner – Global Head of Hedge Funds, KPMG
- Mark McKeever, CPA, Director, KPMG
- Barbara Keller, JD, Deputy CCO and Executive Director, Nomura
- Caren Rosch, JD, Director of Compliance, SEI Investments
Credit Hours: 1
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information
Credit Hours: 2
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information
Course ID Number: 9530
Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
Arizona: Does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.
Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.
Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.
New Hamphsire: The approval is for three years from recorded date.
New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.
New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.
North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.
Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.
Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.
Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.
Tennessee: The approval is for the calendar year in which the live program was presented.
Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.
Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.
If applicable, the RCA will apply for credit in your state upon request.