Fintech and Regtech in the Financial Services Industry: Current Issues for Investment Advisers and Broker-Dealers 2023 | Practising Law Institute (PLI) | 12 November 2023 | PLI New York, 1177 Avenue of the Americas Entrance on 45th Street, New York, NY, USA
Venue
PLI New York
PLI New York, 1177 Avenue of the Americas Entrance on 45th Street, New York, NY, USA
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| Event Date |
Mon Nov 13 AST (about 1 year ago)
In your timezone (EST): Sun Nov 12 11:00pm - Sun Nov 12 11:00pm |
| Location |
PLI New York
1177 Avenue of the Americas Entrance on 45th Street, New York, NY, USA |
| Region | Americas |
Details
The regulatory landscape in which financial services firms operate in this space is evolving and at the same time, regulators have increasingly leveraged technologies in their 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.
Benefits of attending:
• Understand the important RegTech initiatives impacting financial services compliance programs
• Know who the primary regulators are, how they apply data analytics, and what we can learn from recent enforcement activity
• Learn about today’s hot topics being addressed by corporate compliance programs
• Find out which practical aspects should be considered when integrating a compliance and risk program
• Developing, enhancing and implementing risk-based AML compliance programs
• Explore the major legal and supervisory issues facing counsel advising financial services compliance programs
Speakers
2023 Speakers
CHAIRPERSON:
Clifford Kirsch
Partner, Eversheds Sutherland (US) LLP
SPEAKERS:
David Adams
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
James Creel
The Vanguard Group, Inc
Alexander Gavis
Adjunct Professor, Suffolk University Law School
Steffen Hemmerich
Partner, Mayer Brown LLP
Allison Lagosh
Director, Compliance Fidelity Labs, Saifr
Lucas Moskowitz
Deputy General Counsel, Regulatory, Litigation, and Government Affairs,
Vanessa Savino
tZero Group, Inc.
Tiffany Smith
Partner, Wilmer Cutler Pickering Hale and Dorr LLP