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.
In order to navigate the 2018 regulatory and due diligence landscape – firms must upgrade and automate compliance skills assessment and talent development, in addition to surveillance, controls, analytics, testing, reviews and reporting structures.
More importantly, recent examinees report that examination staff continue to increase interviewing of mid and lower level staff in order to assess skill sets and core competences. Therefore, in order for a firm’s leadership to insulate themselves from liability – accredited skills assessment and talent development have become paramount.
Enforcement, Compliance & Operations™ – 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 2018 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 cyber-security mandates from regulators and investors.