Seminar November 13, 2023
9:00 a.m. – 12:45 p.m. ET
Financial services firms’ corporate compliance programs continue to be under intense regulatory scrutiny and face immense challenges brought upon by the FinTech revolution. Many of the financial service regulators have been looking at these developments with a keen interest. The regulatory landscape in which financial services firms operate in this space is evolving and at the same time, regulators have increasingly leveraged technologies in their collection and analysis of a wide variety of data to help inform policy and to detect problematic behavior. At this program, attendees will get a solid foundation about the relevant regulatory framework, as well as practical considerations regarding the design and implementation of such programs. A distinguished faculty of practitioners and regulators will review the major regulations and current examination and enforcement actions to give attendees a multi-faceted perspective on requirements and best practices in this area.