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

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FINRA enforcements Increased 59% over the past 30 days

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SEC issued enforcements: $65,449,488.80 over the past 30 days

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128 Final Rules go into effect in the next 30 days

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21 Mortgage Lending docs published in the last 7 days

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7596 docs with 9937 extracted obligations from the last 7 days

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

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6040 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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november, 2019

14novalldayRegTech Summit 2019

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Event Details

The RegTech Summit explores how the financial services industry can leverage technology to drive innovation, cut costs and support regulatory change. The Summit brings together the industry ecosystem of RegTech practitioners, regulators, startups and solution providers to collaborate and discuss innovative and effective approaches for building a better regulatory environment.

2019 Key topics:

  • Collaboration and partnership models across regulatory ecosystems
  • Improving data and technology standards to enable RegTech
  • Fighting financial crime through improved KYC & AML
  • Regulation drill down: Getting ready for SFTR and FRTB
  • Creating a regulatory change management framework to manage risk and navigate change
  • Application of Blockchain and smart contracts in capital markets

Time

All Day (Thursday)

Location

Convene

Organizer

A-Team Insight

X