Panel: The Impact on RCM from the Regulatory Priorities of the Biden Administration

Brent Crider, Executive Director of AML & BSA, Synovus

Brian Castro, Senior Counsel, House Financial Services Committee

Ileana Falticeni, General Counsel, GoodData

Any administrative change comes with new topics of focus and a landslide of new regulations and changes in rules. This situation for BFSI firms is further complicated by sanctions against countries such as China, Russia, and North Korea. This panel will discuss expectations in the regulatory outlook for the U.S.

Making the Business Case for Investing in RegTech 

Sian Lewin, Head of Client Delivery and Research, RegTech Associates

Based on recent research, this session will discuss how regulators have come to understand the value of RegTech to financial institutions and are encouraging companies to adopt software solutions to improve compliance operations. In addition, the session will cover methods and approaches to deriving competitive advantage from modernizing compliance practices. 

Privacy Regulations vs. Data Rights for Financial Services

Michael Delune, General Counsel & Chief Risk Officer, Manufacturers Bank 

Kelvin Dickenson, Senior Vice President Of Product, Risk & Compliance, SAI Global Risk, Ethics & Compliance

Brian Castro, Senior Counsel, House Financial Services Committee 

To be announced

The Brave New (Post-COVID) World of Privacy and Cybersecurity

Jeffrey Smith, Founder, Lawvisory; Member, Financial Crisis Inquiry Commission in 2010 

Brent Crider, Executive Director of AML & BSA, Synovus

Ileana Falticeni, General Counsel, Quantcast

It is expected that in 2021, there will be developments in regulations such as GDPR, GLBA, and CPRA. In addition, there will be renewed initiatives to boost security over personal information, respond to demands to protect consumer rights, and improve oversight in vendor management. This expert panel will provide insights and advice into the issues, threats, and regulations.

So You Want to Be a Chartered Bank?

Marty Mitchell, Managing Director, ProBank Austin

Richard Dupree, CEO, RISKliance

Many emerging non-licensed or non-chartered neo-firms in the BFSI industry are considering strategies to become chartered. This panel will cover the different approaches to becoming chartered and weigh the pros and cons of each.

Ensuring Compliance In the Cybersphere

Hugh Cadden, OnPoint Analytics

Nirvana Farhadi, RegTech Pioneer • Thought Leader • Author • Keynote Speaker. Non Executive Board Member. RegTech Badass

Jerry Markham, Chairman, Markham Consulting

As the Information Age has led to an explosion of data, interconnectivity, and computing innovations, financial services firms have been required to expand monitoring for risky, unethical, and illegal behavior of people both inside and outside the firm. Compliance professionals must have initiatives in place to comply with obligations from agencies such as the CFTC, SEC, NFA, FINRA, and DOJ. Monitoring must now expand to new methods of market manipulation and spoofing, and activity on social networks and messaging systems.

Mitigating Emerging Risks for the BFSI Industry

Richard Dupree, CEO, RISKliance

Matt Stein, VP Business Development, Jupiter Intelligence

From political instability to pandemic operations to climate change, BFSIs must now expand and adjust the toolset used for risk assessments and determine strategies to prevent risks from impacting the business. This panel will discuss emerging risks and offer solutions to protect the firm.

What’s Next for Dodd-Frank

Jeffrey Smith, Founder, Lawvisory
Member, Financial Crisis Inquiry Commission in 2010

Having served on the Financial Crisis Inquiry Commission in 2010 and continued involvement since that time, Jeffrey Smith has deep expertise in Dodd-Frank and the outlook for this pivotal legislation. Attend this session for insights on likely developments in government policy and the impact on the private sector.

Corporate Boards, Culture, and Compliance

Dr. Marsha Ershaghi Hames, Partner, Tapestry Networks

Kelvin Dickenson, Senior Vice President Of Product, Risk & Compliance at SAI Global Risk, Ethics & Compliance

Tom Ladt, Investor, Advisor, Board Member

While directors are aware of the critical impact corporate culture can have for a company’s reputation and business performance, it is a difficult area to monitor and evaluate. Even when directors have access to compliance data, there are unique challenges around interpreting the narrative around the data. How can a board position itself to support greater accountability and demonstrate its commitment to developing ethical corporate cultures? Join a discussion around what the current realities of board leadership on culture, ethics and compliance. Learn how some companies are drawing lessons from the pandemic to create transformations that can strengthen business integrity.

Rules for Renegades: Cryptocurrency Innovation vs. Government Regulation

Carla Carriveau, Chief Legal Officer and General Counsel, CoinList

What to expect from the oversight of digital assets by Gary Gensler’s SEC in the wake of Ripple and Robinhood.

Regulators’ Application of AI/ML to Assess Complaints

Drake Ross, US Treasury (Ret), OCC

Regulators increasingly use artificial intelligence and machine learning to gain insight on and predict trends in complaints. Learn about the tools and methods regulators use to monitor complaints and how your firm can be proactive in managing complaints before they become significant issues.

Surviving a Paycheck Protection Program Audit

Ileana Falticeni, General Counsel, Quantcast

Jeffrey Smith, Founder, Lawvisory; Member, Financial Crisis Inquiry Commission in 2010

The dramatic shifts in the economy due to the pandemic have lead to equally dramatic legislative programs and the CARE Act to support the private sector. The regulatory guidance and new developments have come fast and furious, creating significant challenges for BFSI firms to ensure compliance. This panel will provide guidance for navigating through an SBA audit, the disclosures required for firms that have taken PPP loans, and considerations for investors.

Operational Resiliency 

Tim Carbery, Managing Partner, Castlehill Managed Risk Solutions

To be announced

Global Trends in RegTech

Jason Boud, Co-Founder and CEO, RegTech Associates

Attend this session to gain insight into the global RegTech landscape and trends in adopting technology to improve compliance operations. Topics include comparing technology adoption, business practices, and the maturity of compliance operations at firms across Europe and North America.

Compliance Innovation Needs Transparency

Jeroen Plink, Founder, Plink Insights

A new era has arrived for GRC and legal. After years of slow innovation, finally a large number of technology companies are entering these spaces. The challenge is one of educating the market. What problems need solving and what are the best solutions for those problems? How do you find your way in the labyrinth of hundreds of software solutions and how do you determine what is best for your organization. There is a need for clarity and it needs to come fast.

Implementing RegTech

Tim Carbery, Managing Partner, Castlehill Managed Risk Solutions

To be announced

Best Practices for Optimizing Regulatory Compliance with End-to-End A.I.

Robert Berger, VP of Sales, 360factors

Mark Giblin, Compliance Analyst, Fulton Financial

As the financial industry navigates 2021, compliance managers must consider impacts of the pandemic, political shifts, regulatory changes, and more. Attend this session to learn how today’s leaders are using AI to optimize their regulatory change management programs and maneuver through uncertainty with greater agility and insight. Case studies that will be covered include accessing a personalized, real-time feed of regulatory content, sourced directly from agencies across multiple jurisdictions and determining what may be impacted by changes.

Optimizing Compliance Programs in a Dynamic and Distributed Business – MetricStream

Dan Gunther, Customer Success Executive, MetricStream
Shreyank Kamat, Associate Director of Product Management, MetricStream

As organizations strive to keep up with the demands of a dynamic and digital age, compliance priorities are rapidly evolving. Compliance management professionals need to stay on top of the complex web of regulatory obligations that govern their businesses and implement measures, processes and policies to sustain compliance. Explore this session where experts discuss best practices on managing regulatory developments, and conducting impact assessments. Effective risk assessments and controls testing are also vital components of the compliance program. By leveraging technology, organizations can take an integrated approach to managing compliance and get a holistic view of their overall compliance posture. They can minimize the risk of compliance cases and incidents and build credibility with regulators by taking a structured approach to managing their engagements with regulators.

Using Compliance.ai Concepts to Reduce the RCM Burden

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai

New Compliance.ai Concepts help to cancel the noise in your regulatory data flow – do you know how to make the most of this feature? In this session we will go through the basics of using the Concepts feature to simplify searches and optimize monitoring for specific regulatory issues. We’ll also build new concepts live in the session based on research suggestions from session attendees.

Use Compliance.ai Data! Implementation Options and Best Practices

Maria Devassy, EVP Alliances, Compliance.ai

Gagan Gill, Product Manager, Compliance.ai

Compliance.ai provides users with programmatic access to financial regulation data for use in a variety of applications. With the integration of Compliance.ai’s data, developers can build new applications, features, and feed information into existing GRC platforms, FinTech applications, content management systems and more. The different integration methods offer: Access to Normalized information, Content from a variety of regulatory sources, Vertical streamlined search and Speed to value (easy integration).

Introduction to Business Profiling in Compliance.ai

Ruth McKenzie, Head of Product Management, Compliance.ai

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai

Get to know one of our newest features! Supercharge your research, filtering, and automation capabilities by creating your business profile and defining unique profiles for your teams and individual users.

All About Expert Connection in Compliance.ai

Marty Mitchell, Managing Director, ProBank Austin

Tim Carbery, Managing Partner, Castlehill Risk

Jeff Abramczyk, Managing Director, Exemplar Companies PBC

Maria Devassy, EVP Alliances, Compliance.ai

Even though you have an amazing tool at your fingertips, sometimes you need an expert’s input. Compliance.ai has the ability to connect our clients directly to expert advisors and content — directly from the application. Join this session to meet our expert advisors and learn how Expert Connection works, how Expert Connection can help you, and what services our partners offer. 

Introducing the Compliance.ai Customer Advisory Council

Ruth McKenzie, Senior Product Director, Compliance.ai

At Compliance.ai, we love client feedback. We’re introducing a new Customer Advisory Council to give you a forum to share insights with Compliance.ai and help shape our future direction. In this session, we’ll be discussing expectations and provide information on how you can participate. This is a closed session for Compliance.ai clients.

Optimizing Compliance.ai Workflow

Nirvana Farhadi, RegTech Pioneer • Thought Leader • Author • Keynote Speaker. Non Executive Board Member. RegTech Badass

Christian Thaure, Head of Customer Support, Compliance.ai

Ruth McKenzie, Head of Product Management, Compliance.ai

Having the right workflow can simplify your work life. Come see whether our Compliance.ai product and support team can meet the challenge of expert advisor, Nirvana Farhadi, in setting up workflows to address operational challenges.

The Contributor Network Program for Compliance.ai

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai

The Compliance.ai platform leverages a crowdsourced, expert-in-the-loop methodology to automatically track, classify, summarize and prioritize financial regulatory content across jurisdictions and topic areas. As one of our Contributors, you put the “expert” in “expert-in-the-loop.”

In this session, you’ll learn what our contributor network is, how to join, what activities you’ll engage in, and why it’s a great opportunity for experts in the BFSI industry. If you have a laptop and internet access, you can become a contributor – all levels of expertise are welcome!

Future Directions for Compliance.ai

Ruth McKenzie, Head of Products, Compliance.ai

Want to see where we are taking the Compliance.ai solution? In this session, we’ll share a sneak peek into web, API, and content-related updates coming soon and also provide insights into our longer-term plans.  This is a closed session for Compliance.ai clients.

Regulatory Content in the Compliance.ai Taxonomy

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai

In this session, you will become an expert in Compliance.ai’s regulatory landscape across all of the jurisdictions we follow. We will drill down on what sources we follow across the globe, and describe our approach to document types from different regulators, and jurisdictions.

Networking Session: Your Thoughts About How Technology Can Improve Collaboration between Agencies, Policymakers, and Practitioners

Kayvan Alikhani, CEO, Compliance.ai

Attend this session to discuss with your peers different ideas about how technologies such as messaging, professional networks, automatic document processing, and others can improve regulatory compliance for the entire ecosystem.

Networking Session: Finding the Right RegTech

Jason Boud, Co-Founder and CEO, RegTech Associates

Sian Lewin, Head of Client Delivery and Research, RegTech Associates

Join this session to ask RegTech experts about the available technology options to address challenges in legal, risk, and compliance operations.

Networking Session: Workflow in Compliance.ai

Christian Thaure, Head of Customer Support, Compliance.ai

Ruth McKenzie, Head of Product Management, Compliance.ai

Having the right workflow can simplify your work life. Come meet with your peers and Compliance.ai experts to share and discover best practices.

Networking Session for Chief Compliance Officers: Managing Complaints

Marty Mitchell, Managing Director, ProBank Austin

Join this networking session for CCOs to discuss trends, best practices, and managing complaints to align with consent orders.

Contributor Network Olympics and Awards Ceremony

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai