Financial Services RegTech and Regulatory Compliance Forum

Financial Services RegTech and Regulatory Compliance Forum
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Why You Should Attend
Financial services firms’ corporate compliance programs continue to be under intense regulatory scrutiny and face immense challenges brought upon the FinTech revolution. Many new rules have been issued which impact the manner in which financial services firms operate. At the same time, these programs have to adapt to financial services regulators’ collection and analysis of a wide variety of data to help inform policy and to detect problematic behavior.  At this program, attendees will get a solid foundation about the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs.  A distinguished faculty of practitioners and regulators will review the major regulations and current examination and enforcement actions to give attendees a multi-faceted perspective on requirements and best practices in this area.  

What You Will Learn

  • Who are the primary regulators and how do they interact?
  • How do the regulators apply data analytics?
  • How are conflicts of interest identified and resolved?
  • What are the important RegTech initiatives?
  • What can we learn from recent enforcement activity?
  • What practical considerations should be taken into account with respect to the integration of a compliance and risk program within a financial services firm?
  • What are the roles of the Chief Compliance Officer and counsel advising the CCO?
  • What are today’s hot topics being addressed by firms’ corporate compliance programs?
  • What are the roles of the lawyer and compliance officer with respect to risk assessments?

Who Should Attend
Attorneys practicing in the financial services industry will benefit from the program's thorough grounding regarding the basic regulatory regime governing financial services firms’ corporate compliance programs. Legal and compliance personnel already working in the industry will also benefit from updates and practical advice that will serve as a refresher. This program is intended for outside counsel, in-house attorneys, government lawyers, documentation managers, compliance officers, bankers, corporate and other end-users of swaps, as well as counsel to derivatives market facilities and others involved in structuring, negotiating and executing swap agreements and other OTC derivative products.

Program Level: Basic Prerequisites: An interest in corporate compliance programs. Advanced Prep: None

Intended Audience: Attorneys practicing in the financial services industry will benefit from the program's thorough grounding regarding the basic regulatory regime governing financial services firms’ corporate compliance programs. Legal and compliance personnel already working in the industry will also benefit from updates and practical advice that will serve as a refresher.   


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When
11/12/2018 9:00 AM - 11/12/2018 5:15 PM
Where
Columbus Bar Association 175 South Third Street Suite 1100 Columbus, Ohio 43215