Financial services firms face a complex tapestry of privacy regulations that differ by state and country jurisdictions. Meanwhile, the rights to use customer data have evolved significantly. This panel will discuss the challenges associated with data rights and privacy and methods to manage the complexity and ensure the firm achieves compliance.

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.

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 session is for current Compliance.ai customers only.

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.

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).

Automation helps transform the manual spreadsheet-based assessment or review processes into a fully digital approach, further reducing the possibilities for human error and time wasted on repetitive work. For example, automation eliminates the need to manually compare loan documents to the data stored and reported to regulators. Discrepancies and exceptions are identified early, reducing time wasters later on in your audit. With all your assessment and review data organized into a digital platform, your process can be standardized for more dependable scoring throughout your various lines of business. Utilize a fully searchable audit history of actions taken on any assessment to understand who or what data drove a given response and gain a better view of your historic decision-making. Automation increases your sampling rate, reduces risks, and you’ll have time and capability to perform more thorough analysis.

2021 is a big year for new NACHA Operating Rule amendments. Some have already become effective including extending the hours for Same Day ACH, validation for online transactions, and differentiating unauthorized returns. Others will become effective in the next few months such as supplementing data security requirements, modernizing how authorizations can happen in the Network and clarifications on the use of reversals. Corporate end users need to be aware of these changes and how they can impact your organization’s processes. Learn what the new rules are, their benefits and impacts to you, and how to prepare from both the sending and receipt perspectives.

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.

In this session, we’ll discuss what to expect from the oversight of digital assets by Gary Gensler’s SEC in the wake of Ripple and Robinhood.

Get to know two 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. Concepts help to cancel the noise in your regulatory data flow. We will go through the basics of using the Concepts feature by Compliance.ai 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.

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.

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.

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.

A critical component of an effective Regulatory Change Management program is being able to understand the impact of changes on your operations. Join Tim Carbery and Joseph Arokiaraj from CastleHill Managed Risk Solutions as we discuss the role of Compliance.AI throughout the regulatory change lifecycle. Discussion will include scenarios of where companies can leverage Compliance.AI services and the EITL network with real world examples.

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.

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.

A new era has arrived for Global RegTech 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.

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.

Attend this session to gain insight into the global RegTech landscape, the trends in the RegTech market and what technology is being used to improve compliance operations. Topics include comparing maturity of technology solutions solving different business problems, barriers and hacks for adoption, business practices, and the maturity of compliance operations at firms across Europe and North America.

Marty Mitchell will interview Aaron Iovine about the regulatory environment that FinTechs are operating in today and what to expect for the future, given the advocacy of organizations like the American FinTech Council and Cross River.

Regulators across the world have increasing expectations for a company’s operational resiliency and preparedness. Join Tim Carbery from CastleHill Managed Risk Solutions to discuss the role of targeted regulatory horizon scanning and how to gain an operational understanding of the impact of this increased scrutiny and stay on top of the rapidly changing operational resilience landscape.

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.

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.

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.

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.

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.

This session will provide a practical example of change management, specifically related to the new SEC Marketing Rule. To effect change one needs to know what to do, and how to do it. The session will provide template policies and procedures and discuss fourteen points that merit consideration when implementing the new Rule.

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!

Having the right workflow can simplify your work life and improve legal, risk, and compliance operations. 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.

Financial regulation is entering the digital age, converting tools and strategies from analog to digital design. In the next decade, this transformation will reach critical mass and do for regulation what digitization does for everything else: make it better, faster, and less expensive. Financial institutions and their regulators have always been active technology adopters. Both finance and regulation are already extensively automated. The existing regulatory system, however, essentially takes analog-era processes and information flows — all of which began on paper — and speeds them up with more automation. The digital age requires regulators to rethink entirely how they operate.

2021 is a big year for new NACHA Operating Rule amendments. Some have already become effective including extending the hours for Same Day ACH, validation for online transactions, and differentiating unauthorized returns. Others will become effective in the next few months such as supplementing data security requirements, modernizing how authorizations can happen in the Network and clarifications on the use of reversals. Corporate end users need to be aware of these changes and how they can impact your organization’s processes. Learn what the new rules are, their benefits and impacts to you, and how to prepare from both the sending and receipt perspectives.

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.

A critical component of an effective Regulatory Change Management program is being able to understand the impact of changes on your operations. Join Tim Carbery and Joseph Arokiaraj from CastleHill Managed Risk Solutions as we discuss the role of Compliance.AI throughout the regulatory change lifecycle. Discussion will include scenarios of where companies can leverage Compliance.AI services and the EITL network with real world examples.

A new era has arrived for Global RegTech 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.

Attend this session to gain insight into the global RegTech landscape, the trends in the RegTech market and what technology is being used to improve compliance operations. Topics include comparing maturity of technology solutions solving different business problems, barriers and hacks for adoption, business practices, and the maturity of compliance operations at firms across Europe and North America.

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.

This session will provide a practical example of change management, specifically related to the new SEC Marketing Rule. To effect change one needs to know what to do, and how to do it. The session will provide template policies and procedures and discuss fourteen points that merit consideration when implementing the new Rule.

In this session, we’ll discuss what to expect from the oversight of digital assets by Gary Gensler’s SEC in the wake of Ripple and Robinhood.

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.

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.

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.

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.

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.

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.

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).

Automation helps transform the manual spreadsheet-based assessment or review processes into a fully digital approach, further reducing the possibilities for human error and time wasted on repetitive work. For example, automation eliminates the need to manually compare loan documents to the data stored and reported to regulators. Discrepancies and exceptions are identified early, reducing time wasters later on in your audit. With all your assessment and review data organized into a digital platform, your process can be standardized for more dependable scoring throughout your various lines of business. Utilize a fully searchable audit history of actions taken on any assessment to understand who or what data drove a given response and gain a better view of your historic decision-making. Automation increases your sampling rate, reduces risks, and you’ll have time and capability to perform more thorough analysis.

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.

Regulators across the world have increasing expectations for a company’s operational resiliency and preparedness. Join Tim Carbery from CastleHill Managed Risk Solutions to discuss the role of targeted regulatory horizon scanning and how to gain an operational understanding of the impact of this increased scrutiny and stay on top of the rapidly changing operational resilience landscape.

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!

Having the right workflow can simplify your work life and improve legal, risk, and compliance operations. 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.

Get to know two 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. Concepts help to cancel the noise in your regulatory data flow. We will go through the basics of using the Concepts feature by Compliance.ai 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.