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

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FINRA enforcements decreased 70% over the past 30 days

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

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161 Final Rules go into effect in the next 30 days

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26 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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

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4075 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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Watch video recordings from the

2021 Expert-in-the-Loop forum

Learn more about EITL Forum

SPEAKERS:

Sebastian Bravo
Ruth McKenzie
Gagan Gill

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 session is for current Compliance.ai customers only.

SPEAKERS:

Ruth McKenzie

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.

SPEAKERS:

Maria Devassy, EVP Customer & Partner Success Compliance.ai
Gagan Gill, Product Manager Compliance.ai

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).

SPEAKERS:

Lakhsman Kannan, Principle at PWC
Sean Carroll, Director at PWC
Chen Chang, Senior Manager at PWC

Automation helps transform the manual spreadsheet-based assessment or review processes into a fully digital approach, further reducing the possibilities for human error and time wasted on repetitive work. For example, automation eliminates the need to manually compare loan documents to the data stored and reported to regulators. Discrepancies and exceptions are identified early, reducing time wasters later on in your audit. With all your assessment and review data organized into a digital platform, your process can be standardized for more dependable scoring throughout your various lines of business. Utilize a fully searchable audit history of actions taken on any assessment to understand who or what data drove a given response and gain a better view of your historic decision-making. Automation increases your sampling rate, reduces risks, and you’ll have time and capability to perform more thorough analysis.

SPEAKERS:

Amy Morris, Senior Director, ACH Network Rules at NACHA

2021 is a big year for new NACHA Operating Rule amendments. Some have already become effective including extending the hours for Same Day ACH, validation for online transactions, and differentiating unauthorized returns. Others will become effective in the next few months such as supplementing data security requirements, modernizing how authorizations can happen in the Network and clarifications on the use of reversals. Corporate end users need to be aware of these changes and how they can impact your organization’s processes. Learn what the new rules are, their benefits and impacts to you, and how to prepare from both the sending and receipt perspectives.

SPEAKERS:

Marty Mitchell, Managing Director with ProBank Austin
Tim Carbery, Managing Partner at Castlehill Risk
Jeff Abramczyk, Managing Director, Chief Compliance Officer & Senior Advisor · Exemplar Companies
Maria Devassy

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.

SPEAKERS:

Carla Carriveau, Chief Legal Officer and General Counsel at CoinList

In this session, we’ll discuss what to expect from the oversight of digital assets by Gary Gensler’s SEC in the wake of Ripple and Robinhood.

SPEAKERS:

Sebastian Bravo, Head of Content & Product Counsel Compliance.ai
Ruth McKenzie, Senior Product Manager Compliance.ai

Get to know two 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. Concepts help to cancel the noise in your regulatory data flow. We will go through the basics of using the Concepts feature by Compliance.ai 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.

SPEAKERS:

Rob Berger, Vice President of Sales 360Factors
Mark Giblin, Compliance Analyst · Fulton Financial Corporation

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.

SPEAKERS:

Kelvin Dickenson, Senior Vice President Of Product, Risk & Compliance, SAI Global Risk
Dr. Marsha Ershaghi Hames, Board Advisor, University of Southern California
Tom Ladt, Investor, Advisor, Board Member
Kayvan Alikhani, Co-founder and CEO Compliance.ai

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.

SPEAKERS:

Tim Carbery, Managing Partner, Castlehill Risk
Joseph Arokiaraj, Principle Consultant, Castlehill Risk

A critical component of an effective Regulatory Change Management program is being able to understand the impact of changes on your operations. Join Tim Carbery and Joseph Arokiaraj from CastleHill Managed Risk Solutions as we discuss the role of Compliance.AI throughout the regulatory change lifecycle. Discussion will include scenarios of where companies can leverage Compliance.AI services and the EITL network with real world examples.

SPEAKERS:

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

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.

SPEAKERS:

Marty Mitchell, Managing Director, ProBank Austin
Richard Dupree, CEO, Riskliance
Matt Stein, VP Business Development, Jupiter Intelligence
Kayvan Alikhani, Co-founder and CEO Compliance.ai

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.

SPEAKERS:

Jeroen Plink, CEO, Plink Insights

A new era has arrived for Global RegTech 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.

SPEAKERS:

Hugh Cadden, Consultant, OnPoint Analytics
Nirvana Farhadi, Global Head of RegTech, Rainmade (UK) Limited
Jerry Markham, Markham Consulting
Lisa Seim, Moderator

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.

SPEAKERS:

Jason Boud, Co-Founder and CEO, RegTech Associates

Attend this session to gain insight into the global RegTech landscape, the trends in the RegTech market and what technology is being used to improve compliance operations. Topics include comparing maturity of technology solutions solving different business problems, barriers and hacks for adoption, business practices, and the maturity of compliance operations at firms across Europe and North America.

SPEAKERS:

Aaron Iovine Esq., Head of Policy and Regulatory Affairs at Cross River
Marty Mitchell, Managing Director, ProBank

Marty Mitchell will interview Aaron Iovine about the regulatory environment that FinTechs are operating in today and what to expect for the future, given the advocacy of organizations like the American FinTech Council and Cross River.

SPEAKERS:

Tim Carbery, Managing Partner, Castlehill Risk

Regulators across the world have increasing expectations for a company’s operational resiliency and preparedness. Join Tim Carbery from CastleHill Managed Risk Solutions to discuss the role of targeted regulatory horizon scanning and how to gain an operational understanding of the impact of this increased scrutiny and stay on top of the rapidly changing operational resilience landscape.

SPEAKERS:

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

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.

SPEAKERS:

Brent Crider, Executive Director of AML & BSA, Synovus
Ileana Falticeni, General Counsel, Quantcast
Jeffrey Smith, Founder, Lawvisory; Member, Financial Crisis Inquiry Commission in 2010
Moderator, Donna Bales, CRTA

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.

SPEAKERS:

Shreyank Kamat, Associate Director - Product Management, MetricStream
Dan Gunther, Customer Success Executive, MetricStream

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.

SPEAKERS:

Drake Ross, US Treasury (Ret), OCC

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.

SPEAKERS:

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

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.

SPEAKERS:

Jeffrey Smith, Founder, Lawvisory; Member, Financial Crisis Inquiry Commission in 2010
Craig Watanabe, Director of IA Compliance · DFPG Investments, LLC.

This session will provide a practical example of change management, specifically related to the new SEC Marketing Rule. To effect change one needs to know what to do, and how to do it. The session will provide template policies and procedures and discuss fourteen points that merit consideration when implementing the new Rule.

SPEAKERS:

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

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!

SPEAKERS:

Nirvana Farhadi, RegTech, Risk, Regulatory Compliance, Hitachi Vantara
Ruth McKenzie, Head of Product Management, Compliance.ai
Christian Thaure, Head of Customer Support, Compliance.ai

Having the right workflow can simplify your work life and improve legal, risk, and compliance operations. 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.

SPEAKERS:

Kayvan Alikhani, Co-founder and CEO Compliance.ai
Jo Ann Barefoot, CEO, Alliance for Innovative Regulation

Financial regulation is entering the digital age, converting tools and strategies from analog to digital design. In the next decade, this transformation will reach critical mass and do for regulation what digitization does for everything else: make it better, faster, and less expensive. Financial institutions and their regulators have always been active technology adopters. Both finance and regulation are already extensively automated. The existing regulatory system, however, essentially takes analog-era processes and information flows — all of which began on paper — and speeds them up with more automation. The digital age requires regulators to rethink entirely how they operate.

SPEAKERS:

Amy Morris, Senior Director, ACH Network Rules at NACHA

2021 is a big year for new NACHA Operating Rule amendments. Some have already become effective including extending the hours for Same Day ACH, validation for online transactions, and differentiating unauthorized returns. Others will become effective in the next few months such as supplementing data security requirements, modernizing how authorizations can happen in the Network and clarifications on the use of reversals. Corporate end users need to be aware of these changes and how they can impact your organization’s processes. Learn what the new rules are, their benefits and impacts to you, and how to prepare from both the sending and receipt perspectives.

SPEAKERS:

Rob Berger, Vice President of Sales 360Factors
Mark Giblin, Compliance Analyst · Fulton Financial Corporation

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.

SPEAKERS:

Tim Carbery, Managing Partner, Castlehill Risk
Joseph Arokiaraj, Principle Consultant, Castlehill Risk

A critical component of an effective Regulatory Change Management program is being able to understand the impact of changes on your operations. Join Tim Carbery and Joseph Arokiaraj from CastleHill Managed Risk Solutions as we discuss the role of Compliance.AI throughout the regulatory change lifecycle. Discussion will include scenarios of where companies can leverage Compliance.AI services and the EITL network with real world examples.

SPEAKERS:

Jeroen Plink, CEO, Plink Insights

A new era has arrived for Global RegTech 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.

SPEAKERS:

Jason Boud, Co-Founder and CEO, RegTech Associates

Attend this session to gain insight into the global RegTech landscape, the trends in the RegTech market and what technology is being used to improve compliance operations. Topics include comparing maturity of technology solutions solving different business problems, barriers and hacks for adoption, business practices, and the maturity of compliance operations at firms across Europe and North America.

SPEAKERS:

Drake Ross, US Treasury (Ret), OCC

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.

SPEAKERS:

Jeffrey Smith, Founder, Lawvisory; Member, Financial Crisis Inquiry Commission in 2010
Craig Watanabe, Director of IA Compliance · DFPG Investments, LLC.

This session will provide a practical example of change management, specifically related to the new SEC Marketing Rule. To effect change one needs to know what to do, and how to do it. The session will provide template policies and procedures and discuss fourteen points that merit consideration when implementing the new Rule.

SPEAKERS:

Carla Carriveau, Chief Legal Officer and General Counsel at CoinList

In this session, we’ll discuss what to expect from the oversight of digital assets by Gary Gensler’s SEC in the wake of Ripple and Robinhood.

SPEAKERS:

Kelvin Dickenson, Senior Vice President Of Product, Risk & Compliance, SAI Global Risk
Dr. Marsha Ershaghi Hames, Board Advisor, University of Southern California
Tom Ladt, Investor, Advisor, Board Member
Kayvan Alikhani, Co-founder and CEO Compliance.ai

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.

SPEAKERS:

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

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.

SPEAKERS:

Marty Mitchell, Managing Director, ProBank Austin
Richard Dupree, CEO, Riskliance
Matt Stein, VP Business Development, Jupiter Intelligence
Kayvan Alikhani, Co-founder and CEO Compliance.ai

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.

SPEAKERS:

Hugh Cadden, Consultant, OnPoint Analytics
Nirvana Farhadi, Global Head of RegTech, Rainmade (UK) Limited
Jerry Markham, Markham Consulting
Lisa Seim, Moderator

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.

SPEAKERS:

Brent Crider, Executive Director of AML & BSA, Synovus
Ileana Falticeni, General Counsel, Quantcast
Jeffrey Smith, Founder, Lawvisory; Member, Financial Crisis Inquiry Commission in 2010
Moderator, Donna Bales, CRTA

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.

SPEAKERS:

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

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.

SPEAKERS:

Maria Devassy, EVP Customer & Partner Success Compliance.ai
Gagan Gill, Product Manager Compliance.ai

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).

SPEAKERS:

Lakhsman Kannan, Principle at PWC
Sean Carroll, Director at PWC
Chen Chang, Senior Manager at PWC

Automation helps transform the manual spreadsheet-based assessment or review processes into a fully digital approach, further reducing the possibilities for human error and time wasted on repetitive work. For example, automation eliminates the need to manually compare loan documents to the data stored and reported to regulators. Discrepancies and exceptions are identified early, reducing time wasters later on in your audit. With all your assessment and review data organized into a digital platform, your process can be standardized for more dependable scoring throughout your various lines of business. Utilize a fully searchable audit history of actions taken on any assessment to understand who or what data drove a given response and gain a better view of your historic decision-making. Automation increases your sampling rate, reduces risks, and you’ll have time and capability to perform more thorough analysis.

SPEAKERS:

Tim Carbery, Managing Partner, Castlehill Risk

Regulators across the world have increasing expectations for a company’s operational resiliency and preparedness. Join Tim Carbery from CastleHill Managed Risk Solutions to discuss the role of targeted regulatory horizon scanning and how to gain an operational understanding of the impact of this increased scrutiny and stay on top of the rapidly changing operational resilience landscape.

SPEAKERS:

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

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!

SPEAKERS:

Nirvana Farhadi, RegTech, Risk, Regulatory Compliance, Hitachi Vantara
Ruth McKenzie, Head of Product Management, Compliance.ai
Christian Thaure, Head of Customer Support, Compliance.ai

Having the right workflow can simplify your work life and improve legal, risk, and compliance operations. 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.

SPEAKERS:

Sebastian Bravo
Ruth McKenzie
Gagan Gill

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 session is for current Compliance.ai customers only.

SPEAKERS:

Ruth McKenzie

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.

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