Semantic Compliance: Dodd Frank and the Investment Adviser Act (IAA) in FIBO
  Jurgen Ziemer   Jurgen Ziemer
Jayzed Data Models Inc.


Thursday, April 26, 2018
08:15 AM - 09:15 AM

Level:  Intermediate

The IAA stipulates fund managers must register with the Securities and Exchange Commission (SEC) if they meet the definition of an investment advisor and don’t qualify for exclusion, exemption, or prohibition.

  • The Fund Ontology encodes these business rules in a hierarchy of defined classes.
  • The Reasoner infers class membership and determines the FIBO Financial Service Provider instances required to register.
  • The session also shows how to integrate SEC forms ADV (advisors) and PF (private funds) into FIBO.
  • For the business audience, we show the roadmap to Semantic Compliance with FIBO.
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Jurgen Ziemer is an EDMC endorsed FIBO consultant. He presented "Semantic Compliance with FIBO" at last year’s conference and co-authored the 2016 Deutsche Bank presentation. Jurgen has 20 years industry experience at global financial institutions. He consulted the German Stock exchange back in 1987. Moving to New York City, he worked for Reuters and Credit Suisse. As an IBM and Accenture consultant for seven years, he advised banks in North America, Europe, and Asia on Banking Data Warehouse (BDW) implementations for Basel II (Wachovia, State Street, BOA, Scotia, HSBC, Bank Austria, etc.). Jurgen directly consulted Citi on BDW and Deutsche Bank (DB) on CCAR. He developed the DB Market Data Ontology and the Jayzed Financial Regulation Ontologies.