PLI - Financial Services RegTech & Regulatory Compliance Forum 2018

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Registration Options

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TypeTitleStartEndCLEPrice
Mechanicsburg
PBI Conference Center
5080 Ritter Road, Rossmoyne Exit, Rt. 15, Mechanicsburg PA, 17055
STARTMon., Nov. 12, 2018
9:00 AM
ENDMon., Nov. 12, 2018
5:15 PM
CLE 5.5 sub/1 eth PRICE $1,850.00
Philadelphia
The CLE Conference Center
Wanamaker Building, 10th Floor, Suite 1010, Philadelphia PA, 19107
STARTMon., Nov. 12, 2018
9:00 AM
ENDMon., Nov. 12, 2018
5:15 PM
CLE 5.5 sub/1 eth PRICE $1,850.00
Pittsburgh
PBI Professional Development Center
Heinz 57 Center, 339 Sixth Avenue, 7th Fl., Pittsburgh PA, 15222
STARTMon., Nov. 12, 2018
9:00 AM
ENDMon., Nov. 12, 2018
5:15 PM
CLE 5.5 sub/1 eth PRICE $1,850.00

About

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?

Faculty

No speakers have been associated with this event.
Faculty may vary by location.
PBI reserves the right to substitute speakers at all programs.
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