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09. From Here to Compliance

With 90 days to EU go live, this session arms project teams with a structured, defensible blueprint for evidencing readiness, whether to internal audit, to the regulator, or to a sceptical executive committee.

/ Summary

We work through five practical steps (business analysis, systems analysis, 'as is' process mapping, 'to be' process design, and reporting specific considerations), illustrated with a real client architecture covering Fidessa, CQG, TT, ITIVITI, LISA/ATEO, ICE and LME. The reporting specific checklist runs across UPI enrichment, UTI logic, action and event types, content, collateral, position reporting, errors and omissions, the 180 day cancel and replace, written reconciliation failure procedures, delegated reporting, UK versus EU, and XML preparation. Particularly useful for buy side operations leads and broker dealer COOs who need a method, not just a milestone plan.

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