225 Enforcement Actions in the U.S. over past 30 days


FINRA enforcements decreased 70% over the past 30 days


CME issued enforcements: $1,241,754.92 over the past 30 days


161 Final Rules go into effect in the next 30 days


26 Mortgage Lending docs published in the last 7 days


1460 docs with 2637 extracted obligations from the last 7 days


91 new Proposed and Final Rules were published in the past 7 days


4075 new docs in pro.compliance.ai within the last 7 days


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Watch video recordings from the

2021 Expert-in-the-Loop forum

View EITL Forum recordings

About this Event

The Expert-In-The-Loop Forum by Compliance.ai is the industry’s only event specific to Regulatory Change Management for the BFSI industry. This event brings together legal, risk, and compliance professionals and industry leaders with expertise in the banking, financial services, and insurance industry.

Featured Speakers

Jo Ann Barefoot

CEO & Founder, Alliance for Innovative Regulation

KEYNOTE: How Technology will Transform Regulatory Oversight and Collaboration

Aaron Iovine, Esq.

Head of Policy and Regulatory Affairs, Cross River

KEYNOTE: Navigating the Fintech Ecosystem: Policy and Regulatory Updates and Trends

Jeffrey Smith

Founder, Lawvisory
Member, Financial Crisis Inquiry Commission in 2010

Carla Carriveau

Chief Legal Officer & General Counsel, CoinList

Brian Castro

Senior Counsel, House Financial Services Committee

Michael Delune

General Counsel & Chief Risk Officer, Manufacturers Bank

Dr. Marsha Ershaghi Hames

Partner, Tapestry Networks

Drake Ross

US Treasury (Ret), OCC

Nirvana Farhadi

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

Compliance.ai Thanks Our Sponsors!

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Regulatory Outlook

Gain insight from experts as to how the regulatory and risk environment for financial services is expected to change.  Designed for senior executives, topics include regulatory directions of the Biden Administration, cybersecurity, Dodd-Frank, emerging risks, privacy and data rights, and more.

Who Should Attend:

  • Chief Compliance Officers
  • Chief Risk Officers
  • General Counsel
  • Head of AML / Financial Crime
Managing Risk and Compliance

Learn emerging best practices and new approaches to managing legal, risk, and compliance organizations.  Designed for senior management, topics include Paycheck Protection Program (PPP) audits, operational resiliency, optimizing compliance operations with artificial intelligence, developments in RegTech, and more.

Who Should Attend:

  • Senior Management of Legal, Risk, and Compliance, including: Vice President & Director
Using Compliance.ai

Learn how to optimize your organization’s use of Compliance.ai.  Designed for regulatory change managers and other users of Compliance.ai, topics include optimizing workflow, review of the Compliance.ai library taxonomy, sharing data between applications, Compliance.ai concepts, business profiling, and more.

Who Should Attend:

  • Regulatory Change Managers
  • Users of Compliance.ai
Special Interest

Connect with industry experts and network with your peers in sessions to discuss specialized topics, such as managing complaints, finding the right RegTech for your firm, and more.

Who Should Attend:

  • All conference attendees
Contributor Network

Network with members of the Contributor Network, compete in the Contributor Network Olympics, meet 1-1 with mentors, and more.  

Who Should Attend:

  • Members of the Contributor Network
  • Attendees interested in Joining the Contributor Network
  • Law Professors, Law Students  

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Get Involved

If you’re interested in joining us as a speaker, partner or sponsor email our event manager Megan Alba, megan.alba@compliance.ai