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

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FINRA enforcements decreased 14% over the past 30 days

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SEC issued enforcements: $225,742,880.78 over the past 30 days

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117 Final Rules go into effect in the next 30 days

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70 Mortgage Lending docs published in the last 7 days

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1836 docs with 3519 extracted obligations from the last 7 days

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

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5599 new docs in pro.compliance.ai within the last 7 days

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Considering RCM Solutions?  Here’s an RFP to get started.

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Tracks & Sessions

Join us at the Expert-In-The-Loop Forum by Compliance.ai to hear from industry experts on regulatory, legal, risk, compliance, and RegTech for the BFSI industry.

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Keynotes

May 25  How Technology will Transform Regulatory Oversight and Collaboration:  An interview with Jo Ann Barefoot, CEO, Alliance for Innovative Regulation

May 26  Navigating the Fintech Ecosystem: Policy and Regulatory Updates and Trends by Phil Goldfeder, Founder and Board Member of the American Fintech Council and SVP Public Policy at Cross River.

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.

Session

Panel: The Impact on RCM from the Regulatory Priorities of the Biden Administration

Speakers

Brent Crider, Executive Director of AML & BSA, Synovus

Brian Castro, Senior Counsel, House Financial Services Committee

Ileana Falticeni, General Counsel, GoodData

Abstract

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.

Session

Making the Business Case for Investing in RegTech 

Speakers

Sian Lewin, Head of Client Delivery and Research, RegTech Associates

Abstract

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. 

Session

Privacy Regulations vs. Data Rights for Financial Services

Speakers

Michael Delune, General Counsel, Manufacturers Bank 

Kelvin Dickenson, Senior Vice President Of Product, Risk & Compliance, SAI Global Risk, Ethics & Compliance

Brian Castro, Senior Counsel, House Financial Services Committee 

Abstract

To be announced

Session

The Brave New (Post-COVID) World of Privacy and Cybersecurity

Speakers

Jeffrey Smith, Founder, Lawvisory; Member, Financial Crisis Inquiry Commission in 2010 

Brent Crider, Executive Director of AML & BSA, Synovus

Ileana Falticeni, General Counsel, Quantcast

Abstract

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.

Session

So You Want to Be a Chartered Bank?

Speakers

Marty Mitchell, Managing Director, ProBank Austin

Richard Dupree, CEO, RISKliance

Abstract

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.

Session

Ensuring Compliance In the Cybersphere

Speakers

Hugh Cadden, OnPoint Analytics

Nirvana Farhadi, Global  Head of RegTech, Rainmade (UK) Limited

Jerry Markham, Chairman, Markham Consulting

Abstract

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.

Session

Mitigating Emerging Risks for the BFSI Industry

Speakers

Richard Dupree, CEO, RISKliance

Michael Delune, General Counsel, Manufacturers Bank

Matt Stein, VP Business Development, Jupiter Intelligence

Abstract

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.

Session

What’s Next for Dodd-Frank

Speakers

Jeffrey Smith, Founder, Lawvisory
Member, Financial Crisis Inquiry Commission in 2010

Abstract

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.

Session

Corporate Boards, Culture, and Compliance

Speakers

Dr. Marsha Ershagi Hames, Partner, Tapestry Networks

Kelvin Dickenson, Senior Vice President Of Product, Risk & Compliance at SAI Global Risk, Ethics & Compliance

Tom Ladt, Investor, Advisor, Board Member

Abstract

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.

Session

Rules for Renegades: Cryptocurrency Innovation vs. Government Regulation

Speakers

Carla Carriveau, Chief Legal Officer and General Counsel, CoinList

Abstract

What to expect from the oversight of digital assets by Gary Gensler’s SEC in the wake of Ripple and Robinhood.

Managing Risk & 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.

Session

Regulators’ Application of AI/ML to Assess Complaints

Speakers

Drake Ross, US Treasury (Ret), OCC

Abstract

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.

Session

Surviving a Paycheck Protection Program Audit

Speakers

Ileana Falticeni, General Counsel, Quantcast

Jeffrey Smith, Founder, Lawvisory; Member, Financial Crisis Inquiry Commission in 2010

Abstract

The dramatic shifts in the economy due to the pandemic have lead to equally dramatic legislative programs and the CARE Act to support the private sector. The regulatory guidance and new developments have come fast and furious, creating significant challenges for BFSI firms to ensure compliance. This panel will provide guidance for navigating through an SBA audit, the disclosures required for firms that have taken PPP loans, and considerations for investors.

Session

Operational Resiliency 

Speakers

Tim Carbery, Managing Partner, Castlehill Managed Risk Solutions

Abstract

To be announced

Session

Global Trends in RegTech

Speakers

Jason Boud, Co-Founder and CEO, RegTech Associates

Abstract

Attend this session to gain insight into the global RegTech landscape and trends in adopting technology to improve compliance operations. Topics include comparing technology adoption, business practices, and the maturity of compliance operations at firms across Europe and North America.

Session

Compliance Innovation Needs Transparency

Speakers

Jeroen Plink, Founder, Plink Insights

Abstract

A new era has arrived for GRC 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.

Session

Implementing RegTech

Speakers

Tim Carbery, Managing Partner, Castlehill Managed Risk Solutions

Abstract

To be announced

Session

Best Practices for Optimizing Regulatory Compliance with End-to-End A.I.

Speakers

Robert Berger, VP of Sales, 360factors

Mark Giblin, Compliance Analyst, Fulton Financial

Abstract

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.

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.

Session

Optimizing Compliance Programs in a Dynamic and Distributed Business – MetricStream

Speakers

Alan Paris, Customer Success Executive, MetricStream
Shreyank Kamat, Associate Director of Product Management, MetricStream

Abstract

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.

Session

Using Compliance.ai Concepts to Reduce the RCM Burden

Speakers

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai

Abstract

New Compliance.ai Concepts help to cancel the noise in your regulatory data flow – do you know how to make the most of this feature? In this session we will go through the basics of using the Concepts feature 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.

Session

Use Compliance.ai Data! Implementation Options and Best Practices

Speakers

Maria Devassy, EVP Alliances, Compliance.ai

Gagan Gill, Product Manager, Compliance.ai

Abstract

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).

Session

Introduction to Business Profiling in Compliance.ai

Speakers

Ruth McKenzie, Head of Product Management, Compliance.ai

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai

Abstract

Get to know one 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.

Session

All About Expert Connection in Compliance.ai

Speakers

Marty Mitchell, Managing Director, ProBank Austin

Tim Carbery, Managing Partner, Castlehill Risk

Jeff Abramczyk, Managing Director, Exemplar Companies PBC

Maria Devassy, EVP Alliances, Compliance.ai

Abstract

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. 

Session

Introducing the Compliance.ai Customer Advisory Council

Speakers

Ruth McKenzie, Senior Product Director, Compliance.ai

Abstract

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. This is a closed session for Compliance.ai clients.

Session

Optimizing Compliance.ai Workflow

Speakers

Nirvana Farhadi, Global Head of RegTech, Rainmade (UK) Limited

Christian Thaure, Head of Customer Support, Compliance.ai

Ruth McKenzie, Head of Product Management, Compliance.ai

Abstract

Having the right workflow can simplify your work life. 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.

Session

The Contributor Network Program for Compliance.ai

Speakers

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai

Abstract

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!

Session

Future Directions for Compliance.ai

Speakers

Ruth McKenzie, Head of Products, Compliance.ai

Abstract

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 is a closed session for Compliance.ai clients.

Session

Regulatory Content in the Compliance.ai Taxonomy

Speakers

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai

Abstract

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.

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.

Session

The Climate of Regulatory Agencies Since the Biden Administration

Speakers

Amy Silvoso, Compliance Officer, Bank OZK

Abstract

Join us for a one-to-one interview of Amy Silvoso with Bank OZ, a Compliance.ai client. Amy will discuss developments at the CFPB and the impact of delays on the banking industry. Amy will also discuss how Compliance.ai has helped her team manage regulatory change management activities.

Session

Networking Session: Your Thoughts About How Technology Can Improve Collaboration between Agencies, Policymakers, and Practitioners

Speakers

Kayvan Alikhani, CEO, Compliance.ai

Abstract

Attend this session to discuss with your peers different ideas about how technologies such as messaging, professional networks, automatic document processing, and others can improve regulatory compliance for the entire ecosystem.

Session

Networking Session: Finding the Right RegTech

Speakers

Jason Boud, Co-Founder and CEO, RegTech Associates

Sian Lewin, Head of Client Delivery and Research, RegTech Associates

Abstract

Join this session to ask RegTech experts about the available technology options to address challenges in legal, risk, and compliance operations.

Session

Networking Session: Workflow in Compliance.ai

Speakers

Christian Thaure, Head of Customer Support, Compliance.ai

Ruth McKenzie, Head of Product Management, Compliance.ai

Abstract

Having the right workflow can simplify your work life. Come meet with your peers and Compliance.ai experts to share and discover best practices.

Session

Networking Session for Chief Compliance Officers: Managing Complaints

Speakers

Marty Mitchell, Managing Director, ProBank Austin

Abstract

Join this networking session for CCOs to discuss trends, best practices, and managing complaints to align with consent orders.

Special Interest Sessions Available! Do you have expertise you want to share or topics specific to your role or BFSI that you want to discuss with peers?   We have sessions available!  Contact Megan at megan.alba@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.

 

Session

Contributor Network Olympics and Awards Ceremony

Speakers

Sebastian Bravo, Head of Content & Product Counsel, Compliance.ai

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