Regulatory Compliance Association Reviews

Modernizing Compliance via RegTech

Date: November 14, 2019
General Session: 12:00 noon to 2:00 PM EST
Location: Webcast

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Description:

Successfully complying with the multitude of financial services regulations can be a complex, time-consuming, and costly activity for asset management firms. Compliance leaders face real challenges of increasing oversight, reducing costs, and utilizing existing infrastructure and technologies that cannot keep up with new regulations. Enter the emerging capabilities of RegTech – generally defined as new technologies that facilitate the delivery of regulatory requirements more efficiently and effectively than existing capabilities.

This session will provide compliance professionals with a foundational understanding of various RegTech capabilities how they can modernize your compliance program. Whether you are looking to leverage intelligent insight and data analytics to proactively identify emerging risks and issues or drive down the cost of compliance by simplifying and standardizing compliance practices through automated workflows, this session offers insight into identifying ‘right-sized’ RegTech proof-of-concept projects and creating a compelling business case for investment.

Learning Objectives:

Following this session, participants will be able to: 

  • Define RegTech within asset management compliance
  • Apply RegTech maturity model to an asset management compliance program
  • Define potential core and leading RegTech capabilities for an asset management compliance program
  • Assess and prioritize opportunities to implement RegTech capabilities based on cost, complexity, available resources, and return on investment/benefit
  • List critical elements of a business case supporting a RegTech proof-of-concept investment/exercise
  • Recognize potential RegTech implementation challenges and identify methods to overcome them

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Sponsor:

EY

Contract Compliance Trends: Optimizing Technology and Outsourcing

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Danielle M. Ryea, Managing Director, EY

Faculty:

C. Ryan Munson, Senior Manager, EY

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