Regulatory Reporting Fundamentals

Understanding regulatory reporting obligations and the principles of accurate and timely reporting

Course Overview

This course provides learners with an understanding of regulatory reporting obligations and the processes required to produce accurate, timely and complete submissions to regulators. Learners will explore the types of regulatory reporting, common reporting failures, data quality principles, governance of the reporting process and the consequences of reporting failures. The course is suitable for compliance professionals, finance teams and regulatory affairs specialists.

Learning Outcomes

• Understand the types and purpose of regulatory reporting obligations
• Apply data quality principles to regulatory reporting processes
• Understand the governance and ownership of regulatory reporting
• Identify common regulatory reporting failures and their causes
• Understand the consequences of inaccurate or late regulatory reporting
• Apply attestation and sign-off requirements correctly
• Support continuous improvement of regulatory reporting processes

Course Structure (3 topics, 9 lessons)