Transaction & Trade Reporting Conference

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Transaction & Trade Reporting Conference Venue: Date: Pinners Hall, 105-108 Old Broad Street, London, EC2N 1EX 16 July 2014 How is the regulated market landscape changing?

Philip Read Regulatory Change ANZ Viv Bannigan Policy Director, Capital Markets BBA Ana Fernandes Transaction Reporting Technical Specialist FCA Dan Chambers London Head of Regulatory Reporting Unit

1 Transaction & Trade Reporting Conference Venue: Date: Pinners Hall, Old Broad Street, London, EC2N 1EX 16 July 2014 How is the regulated market landscape changing? Speakers include: Rodrigo Buenaventura Head of Markets Division ESMA Matthew Vincent Head of UK Regulatory Transaction Reporting Credit Suisse Ian Rennie Regulatory Reporting Change HSBC Bank Plc Philip Read Regulatory Change ANZ Viv Bannigan Policy Director, Capital Markets BBA Ana Fernandes Transaction Reporting Technical Specialist FCA Dan Chambers London Head of Regulatory Reporting Unit HSBC Bank Plc Jonathan Lee Fixed Income Regulatory Reporting Middle Office Manager JP Morgan Securities Plc David Nowell Head of Industry Relations and Regulatory Compliance UnaVista, LSEG Adedayo Banwo Regulatory Compliance EMEA Deutsche Bank Ian Scott Former Senior Managing Director, ETD & OTC Clearing State Street Global Advisors Chad Giussani Former Project Manager, Business Transformation Lloyds Banking Group Shamik Ghosh Vice President Office CAO s Office Nomura International Plc Headline Sponsor: Featured Exchange Sponsor: Silver sponsor: Bronze sponsors: [Double click to insert logo]

2 Introduction: Concerns about the increased trading complexity and proliferation of financial instruments characterising financial markets have led to extensive revision of existing regulation and directives such as MiFIR/MiFID and EMIR with an aim to create a more robust framework of regulation enhancing transparency and market resilience. While MiFIR significantly increases the scope of reportable securities to reflect the provisions in the Market Abuse legislative proposals, particular emphasis is being placed on cost and compliance implications stemming from the differences but also the possible overlap between MiFIR and EMIR. This conference will address the wider implications and operational and system changes required to meet new regulatory requirements. Topics to be covered: MiFIR/MiFID consultation Implementing MiFIR/MiFID II: key strategic elements UTIs, UPIs, LEIs Bridging gaps between EMIR and MiFIR Meeting post-trade transparency obligations The impact of EMIR on the futures market and the listed derivatives market Best practices in operational compliance Internal and external control frameworks Real-time reporting Derivatives and FC trades reporting Transaction reporting: Room 101 Headline sponsor profile: AxiomSL global leader in XBRL Regulatory Reporting and risk management solutions for financial services industry was established more than 20 years ago. AxiomSL empowers financial institutions to meet regulatory reporting and risk requirements across multiple regulators and jurisdictions on one platform. Via its strategic data-driven platform, firms can meet demands from various regulations (Basel, CRD-IV, Dodd-Frank, AIFMD, FATCA, etc.). Leading financial firms use AxiomSL s solutions to administer internal data procedures, standardize and automate process and improve data integrity to enhance decision making. AxiomSL s suite, quickly adaptable to evolving regulations, delivers a fully integrated solution, providing transparency and traceability, from data sourcing to final reports including XBRL submission.

3 Programme: 09:00 Registration and breakfast 09:25 Opening remarks from the Chair Vivienne Bannigan, Policy Director, Capital Markets, BBA 09:30 Keynote Address: Developing a harmonised UK Framework Why the need for data; what is required and how it will be used MiFIR/MiFID consultation Update on MiFIR/MiFID overlap with EMIR Meeting the technical standards: what will be expected of firms Standardisation of reporting requirements Ana Fernandes, Transaction Reporting Technical Specialist, FCA 10:00 Keynote Address: Working on technical standards Implementing MiFIR/MiFID II: key strategic elements Describing consultation processes (CP and DP) Risk mitigation under EMIR Meeting technical standard across the EU Timetables for delivery Rodrigo Buenaventura, Head of Markets Division, ESMA 10:30 Panel Discussion: Bridging gaps between EMIR and MiFIR Lessons learnt from EMIR Identifying reportable instruments UTIs, UPIs, LEIs: overcoming the technical challenges of multiple identifiers and jurisdictions Defining execution, transmission of orders Moderator: Winifred Man, Oversight, Regulatory Risk & Controls, J.P. Morgan Matthew Vincent, Head of UK Regulatory Transaction Reporting, Credit Suisse Dan Chambers, London Head of Regulatory Reporting Unit, HSBC Bank Plc Shamik Ghosh, Vice President, CAO s Office, Nomura International Plc Philip Read, Regulatory Change, ANZ 11:15 Coffee Break 11:45 Presentation: Trade Repositories Challenges, Changes and Choices David Nowell, Regulatory Change, UnaVista, LSEG 12:15 Panel Discussion: Meeting post-trade transparency obligation Dealing with different sets of validations and reports Evaluating the additional effort and cost involved in ensuring post trade transparency for special asset classes such as FI and equities Understanding the impact of EMIR on the futures market and the listed derivatives market Reporting costs: the MiFIR and EMIR overlap What are the main challenges that have emerged both for the buy-side and the sell side? Moderator: Vivienne Bannigan, Policy Director, Capital Markets, BBA Ian Rennie, Regulatory Reporting Change, HSBC Bank Plc Jonathan Lee, Fixed Income Regulatory Middle Office Manager, JP Morgan Securities Plc Adedayo Banwo, Regulatory Compliance EMEA, Deutsche Bank 13:00 Lunch 14:00 Presentation: Topic to be announce shortly Tony Sarkis, Director, Policy and Product Strategy EMEA,, AXIOM SL 14:30 Presentation: MiFID II/MiFIR and beyond: growth and evolution in Regulatory Operational Control Best practices in Regulatory Operations Control Ensuring good governance: processes, responsibilities and oversight Quality assurance Identifying gaps and inconsistencies Establishing systems readiness Karen Abbott, Operational Risk and Regulatory Control, Barclays

4 15:00 Coffee Break 15:30 Presentation: Internal and external control frameworks Ian Rennie, Regulatory Reporting Change, HSBC Bank Plc 16:00 Panel Discussion: Transaction reporting: Room 101 Dealing with life cycle events in derivative contracts Tackling the additional challenges in intragroup transaction reporting Process tweaking for FX trades reporting Matching internal check and intra-legal entities Collateral and valuation reporting Moderator: Andrew Rogan, Senior Policy Director, Capital Markets and Infrastructure, BBA Chad Giussani, Former Project Manager, Business Transformation, Lloyds Banking Group Iain Scott, Former Senior Managing Director, ETD & OTC Clearing, State Street Global Advisors James Brown, Compliance Officer, Logistics, UBS Jonathan Willder, GTO Client Platform and Clearing Services, Deutsche Bank 16:45 Closing remarks from the Chair Vivienne Bannigan, Policy Director, Capital Markets, BBA

5 Registration: Trade & Transaction Reporting Conference 16 July 2014 Your details Name Mr/Mrs/Miss/Ms Position address Organisation Address City Telephone Special needs/dietary requirements Postcode Fax Price (includes lunch and documentation, and is payable in advance of the event) BBA Member Fee: ( VAT) = Total per delegate Non-Member Fee: ( VAT) = Total per delegate Payment (Cheque, Credit Card or BACS payments) 01 I enclose a cheque for made payable to BBA Enterprises Ltd 02 I wish to pay by credit card Visa Mastercard AmEx Switch/Maestro Eurocard Cardholder name Cardholder s number Issue number (Switch/Maestro only) Expiry date Security code Billing address Total amount to be debited Cardholder signature 03 I wish to pay by BACS payment please send a BACS remittance together with a copy of this registration form. Account name: BBA Enterprises Ltd Bank: Coutts & Co, 440 Strand, London WC2R 0QS Account: Sort Code: IBAN: GB61COUT IBANBIC: COUTGB22 Bank Delegate name Total amount paid Please use the reference LC11 and delegate surname when paying BBA Enterprises Ltd through BACS. Bookings will not be processed until the Conference Unit has received a remittance advice and a completed registration form. I have read and understood the terms and conditions of booking and confirm my acceptance Signed Date

6 Registration: Trade & Transaction Reporting Conference 16 July 2014 Data Protection The personal data you provide will be processed in accordance with the Data Protection Act 1998 by BBA or BBA Enterprises Ltd and used for membership purposes and to provide you with details of events, publications and training by post or . If you do not wish to receive this information by post, please tick the box In line with the Privacy and Electronic Communications (EC Directive) Regulations 2003, if you would rather not receive such information by , please tick the box If you do not wish to be marketed by joint venture organisations from information supplied by the BBA or BBAE, please tick the box. Booking terms and conditions 01 ALL event registrations must be made in writing and accompanied by full payment to guarantee a place. If your accounts department will be sending payment separately, please initially fax a copy of your completed registration form and state payment to follow. 02 Membership of the British Bankers Association is on a corporate basis, therefore, if your employer is a member, so are you. 03 All cancellations made 14 days or more prior to the event will incur an administration charge of 35 plus VAT. If a cancellation notice is received within 14 days of an event, no refunds will be made. In such cases, registration cannot be transferred to other events, however substitute names can be provided. 04 Confirmation. Please supply an address on your registration form as your booking confirmation and joining instructions will be ed to you within 48 hours of the BBA receiving your booking. The BBA must receive full payment before a booking confirmation will be sent. If you do not receive your booking confirmation within the stated timeframes, please contact the conference administrator. 05 In certain circumstances, the BBA reserves the right to change the programme without prior notification. 06 Delegate places cannot be shared. 07 It is the policy of the BBA not to issue invoices for conference bookings. We will, however, issue a VAT receipt with the event confirmation. Are our records correct? Help us maintain the accuracy of our membership database and reduce waste by letting us know, if: - the details we hold about you are incorrect - you have received duplicate copies of this flyer - you want to opt to receive all future correspondence via . Contact us at conferences@bba.org.uk and we will update your record accordingly.

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