The document summarizes an upcoming webinar on meeting the requirements for Legal Entity Identifiers (LEIs) under the MiFID II regulation. It provides details on the panel members and their areas of expertise related to LEIs. It also lists the talking points that will be covered in the webinar, including key elements of MiFID II requiring LEIs, current status of LEI adoption, challenges of the MiFID II LEI mandate, and implications of varying adoption rates globally. The webinar aims to help participants address the LEI requirements under the new regulation.

1. DataManagementReview.comNovember 14, 2017
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Welcome to A-Team Group’s webinar
MiFID II: Meeting the Requirement
for Legal Entity Identifiers (LEIs)

2. DataManagementReview.comNovember 14, 2017
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3. DataManagementReview.comNovember 14, 2017
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A recording of this webinar can be found at:
http://resource.datamanagementreview.com/webinar-recording-mifid-ii-lei-
nov2017

4. DataManagementReview.comNovember 14, 2017
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Moderator:
Sarah Underwood, Editor, A-Team Group

5. DataManagementReview.comNovember 14, 2017
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Panel Member: Robin Doyle, Managing Director,
Office of Regulatory Affairs, J.P. Morgan
Areas of Expertise:
• Industry leader and active participant
in LEI development since 2010
• Chair of GFMA LEI working group
• GLEIF board member since 2014

6. DataManagementReview.comNovember 14, 2017
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Panel Member: Jim Fertitta, Vice President,
Global Head of Entity Management
Operations, Goldman Sachs
Areas of Expertise:
• Responsible for global client and firm legal entity
management as well as bank holding company
regulatory reporting
• 20 years of industry experience, the majority of the
time spent in New York and the past six years in
Salt Lake City, Utah.

7. DataManagementReview.comNovember 14, 2017
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Panel Member: Eugene Ing, Executive Director,
Data Services, DTCC
Areas of Expertise:
• Product manager for the GMEI, the largest LOU
in the global LEI system
• Managed GLEIF accreditation and various GLEIF
standards implementations including Level 2
• Over 20 years of financial services experience

8. DataManagementReview.comNovember 14, 2017
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Panel Member: Tony Freeman, Executive Director,
Industry Relations, DTCC
Areas of Expertise:
• Clearing, settlement and trade reporting
• Global regulatory initiatives and EU legislation on
cybersecurity, fintech, blockchain/DLT and cloud
computing
• Market infrastructure, middle-office, trade
processing and STP

9. DataManagementReview.comNovember 14, 2017
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Panel Member: Matthew Chan, Head of Product and
Strategy, Institutional Trade Processing, APAC, DTCC
Areas of Expertise:
• Commercial oversight of a number of key DTCC
businesses in Asia Pacific including DTCC post-trade
processing services and GMEI services in the Asian
region
• Working with the broker, investment manager and
custodian segments across Asia, including key
markets in Hong Kong, Japan, Australia and
Singapore as well as less mature markets
• Additional focus on fintech in the Asian region

10. DataManagementReview.comNovember 14, 2017
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MiFID II regulatory requirement for Legal Entity Identifiers (LEIs)
LEI adoption in the run up to MiFID II – are we nearly there yet?
Expected regulatory approaches to the No LEI, No Trade rule
Challenges of the MiFID II mandate for LEIs and how to address them
How will providers ensure they can meet the rush to obtain LEIs
Identifying and renewing lapsed LEIs to ensure compliance
Implications of varying LEI adoption rates in different global regions
Benefits of the LEI beyond MiFID II regulatory compliance
Talking Points

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Key elements of MiFID II that must be addressed
using an LEI
• Identifying clients,
counterparties
and issuers
• Pre-and post trade
reporting
• Transaction reporting

12. DataManagementReview.comNovember 14, 2017
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The state-of-play on LEI adoption. Should this be
a concern at this stage in the run up to MiFID II
compliance?
• LEIs issued: 730,215 (up from
566,596 In mid September)
• Number of Local Operating
Units (LOUs) in the global LEI
system: 30

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To what extent do you expect regulators to enforce
the No LEI, No Trade rule?

14. DataManagementReview.comNovember 14, 2017
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Data management challenges presented by the
MiFID II requirement for LEIs
 Understanding the requirement
 Obtaining necessary LEIs
 Integrating and mapping LEIs
 Identifying incomplete data
 Keeping LEI data up to date

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Approaches to LEI challenges with only six weeks
to go until the MiFID II compliance deadline

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How will LOUs issue all requested LEIs in the rush to
obtain the identifiers before the MiFID deadline?

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18. DataManagementReview.comNovember 14, 2017
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How firms are ensuring their clients, counterparties
and issuers are obtaining required LEIs

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Approaches to lapsed LEIs and how to make sure
they are renewed and updated

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Issues with LEI data accuracy and the problems
this can create

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The implications of varying LEI adoption rates
in different global regions

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Looking forward, potential benefits of the LEI
beyond MiFID II compliance
• More consistent entity data
• Operational efficiences
• Improved risk management
• Better customer service
• New business opportunities

23. DataManagementReview.comNovember 14, 2017
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Thank you to our sponsor
Contact:
To learn more about the GMEI Utility and how we are
helping clients prepare for MiFID II please visit
www.gmeiutility.org/mifid2 or contact us directly with
questions via GMEI_MiFIDPreparedness@dtcc.com.

24. DataManagementReview.comNovember 14, 2017
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Upcoming A-Team Group Events
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November 16th – RegTech Summit for Capital
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November 21st – How to apply emerging technologies to data management
November 30th – To be MiFID II or not to be? Approaches for 2018 and who is
ready?
December 12th – Data management requirements for the 2018 regulatory
agenda

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