Advances in RegTech: Managing Compliance Mandates 2022 | Wealth Management | 30 March 2022 | Webinar
Venue
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| Event Date |
Thu Mar 31 UTC (over 2 years ago)
In your timezone (EST): Wed Mar 30 8:00pm - Wed Mar 30 8:00pm |
| Location | Webinar |
| Region | All |
Details
The daily analysis of clearing, order management, and custodial system data to support regulations and compliance policies is onerous and prone to error. Having a rules-based technology platform to evaluate your data automatically relieves compliance and supervisory personnel of the burden of sifting through pages of transactions or examining investor account positions for possible issues. More importantly, having RegTech in place allows firms to evidence supervision and quickly respond to regulators' requests.
Recent guidance from FINRA requires advisors and broker-dealers to enhance their written supervisory procedures and policies. However, for many firms, relying on spreadsheets for account and trade analysis isn’t enough and sometimes may only complicate the process.
leading financial advisors to discuss:
• Monitoring of your employee trades in accounts held away
• Managing outside business activities, gifts and entertainment, and political contribution and donation tracking
• Senior & vulnerable investor surveillance
• Leveraging CRM data for investment suitability and Reg BI
• Anti-Money Laundering
• And more
Speakers
2022 Speakers
Martin Orbach
Vice President, Regulatory & Analytic Solutions, SS&C Risk & Compliance Intelligence (RCI) SS&C
Shahyan Aly
Principal Product Manager, SS&C Black Diamond SS&C
MODERATOR
Timothy D. Welsh
President and Founder, Nexus Strategy, LLC
Sponsors & Partners
2022 Sponsors
• SS&C
• Black Diamond Wealth Platform