🎓 Open to All Graduates & Finance Students · FREE First Workshop for Every College · Individual Students Also Welcome
Regulatory Reporting
& Controls
in Banking
Regulators around the world require banks to report accurately, completely, and on time — every single day. This workshop explains the reporting frameworks, data controls, and governance structures that investment banks use to stay compliant and avoid regulatory sanctions.
About
What This Workshop Covers
This workshop explains the importance of regulatory reporting and how investment banks ensure compliance with financial regulations and reporting standards across global jurisdictions. Participants learn the operational reporting workflows and control mechanisms used to maintain reporting accuracy — from trade reporting under MiFID II and EMIR, to financial reporting under IFRS and Basel III, to RBI reporting for India-based operations. Regulatory reporting roles sit at the intersection of operations, compliance, and finance — making this workshop relevant to candidates targeting any of those three functions.
Topics
Fundamentals Covered
Introduction to Banking Regulations
Why banking is regulated, key global regulators (FCA, SEC, ESMA, RBI, SEBI), the cost of reporting failures (fines, sanctions, reputational damage), and the regulatory landscape post-2008.
Regulatory Reporting Framework
Categories of regulatory reporting — prudential, conduct, market, and transaction reporting — and how reporting obligations differ by institution type, jurisdiction, and product line.
Financial Reporting Requirements
Basel III/IV regulatory returns — COREP (capital adequacy), FINREP (financial statements), LCR (liquidity coverage ratio), NSFR (net stable funding ratio) — and IFRS 9 accounting requirements.
Trade Reporting Concepts
MiFID II transaction reporting (RTS 22), EMIR trade reporting to trade repositories (DTCC, REGIS-TR, CCIL for India), UTI/UPI generation, reportable fields, pairing and matching, and late report remediation.
Data Validation & Controls
Pre-submission data quality checks — field-level validation rules, cross-system reconciliation (booking system vs reporting system), tolerance breach investigation, and the report sign-off control chain.
Audit Support Processes
How regulatory reporting teams support internal and external audits — evidence packs, control documentation, audit sampling methodologies, and how findings are tracked through to remediation.
Regulatory Compliance Monitoring
Daily, weekly, and monthly compliance monitoring routines — completeness rates, timeliness KPIs, rejection rate tracking, breach thresholds, and reporting dashboards for senior management.
Risk & Governance Reporting
Board and risk committee reporting packs, ICAAP/ILAAP submissions, regulatory self-assessments, and how governance reporting links operational risk, compliance, and finance outputs into a single picture.
Reporting Timelines & Accuracy
T+1, T+2, monthly, and quarterly reporting deadlines by report type — how banks manage reporting calendars, what triggers a late submission, and the operational processes that ensure on-time delivery.
Escalation Management
Materiality assessment for reporting errors, voluntary vs mandatory disclosure to regulators, management escalation paths, remediation plan design, and post-incident reporting process improvements.
Outcomes
Skills Developed
- Regulatory understanding — global and Indian reporting frameworks and the obligations they create for banks
- Reporting process knowledge — trade, financial, and governance reporting workflows from data to submission
- Data control awareness — validation rules, reconciliation checks, and sign-off procedures before regulatory submission
- Compliance monitoring skills — tracking completeness, timeliness, and breach escalation in reporting operations
- Operational governance understanding — how reporting links operations, compliance, risk, and finance teams
First workshop is FREE for every college. Individual students are also welcome to register and attend at no cost for the first session.
Career Opportunities
Roles You Can Target
Book a Workshop
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