VENUE: The Westin Hotel, Times Square, New York, NY
DATE: November 8, 2018
With new leadership at the various regulatory agencies comes new priorities, initiatives and areas of focus. Despite the rhetoric, compliance, legal and operations executives should expect rule making, compliance requirements, reporting obligations, examination activity and enforcement to accelerate later this year.
For example, many may recall statements from SEC Officials, under Chairman Clayton, down playing the need to file enforcement actions based upon “technical” violations. However, the SEC recently filed against 13 fund advisers for failing to file Form PF. In support, Anthony Kelly, Co-Chief of the Asset Management Unit, declared: “We encourage investment advisers to take a fresh look at whether they are meeting their reporting obligations and adjust their compliance programs accordingly.”
In order to navigate the 2019 regulatory and due diligence landscape – firms must upgrade and automate compliance talent assessment and development, in addition to surveillance, controls, analytics, testing, reviews and reporting structures.
More importantly, recent examinees report that examination staff increasingly interview mid and lower level staff in order to assess compliance skill sets and core competences. Therefore, in order for a firm’s leadership to insulate themselves from liability – accredited talent assessment, enhancement and development have become paramount.
Compliance, Risk & Enforcement™ – New York 2018 will feature the largest collection of regulators and recent examinees exclusively sharing the latest regulatory priorities, tactics and developments.
The Faculty will deliver the most timely, practical and actionable guidance to:
- Upgrade compliance analytics, controls, testing and reviews (deficiency areas),
- Address the 2019 examination priorities and tactics,
- Develop a deep understanding of the latest enforcement initiatives,
- Explore the most cost-efficient and effective compliance automation options,
- Address personal liability for compliance, legal and operations executives, and
- Prioritize the latest crypto-currency mandates from regulators and investors.