Keeping Up with Compliance
Leveraging the Latest Solutions in RegTech

June 13, 2018

12 - 5 pm followed by cocktail reception

The Kitano Hotel
66 Park Avenue, East 38th St New York NY 10016

This is your complimentary invite to a half-day Compliance Forum at the Kitano New York, June 13, featuring senior-level viewpoints from participants representing various sides of the industry.

Speakers:

 Kitano Map
  • Charles Riely, Assistant Director, U.S. Securities and Exchange Commission
  • Danielle Tierney, Senior Analyst, Aite Group
  • Bruno Piers de Raveschoot, COO - Regulatory Division, RIMES
  • John Spinola, Compliance SME, RIMES

 Register now for complimentary access and speaker updates.

* Please note that places are limited and registration is mandatory for this forum. Due to the nature of our events, this forum is reserved for asset managers, insurance companies and banks .

 

Topics

  -  The Case for Holistic Surveillance: hype vs. reality
  -  Reducing false positives in surveillance alerts: key initiatives, including parameter-setting and predictive analytics
  -  Multi-Asset Class Coverage for Surveillance: necessary uses and components
  -   Firm Segmentation for Trade Surveillance: buy-side, sell-side, markets and regulators, and the role of compliance in today's firm hierarchies
  -   The Reality of Real Time
  -  The Perpetual Challenge of Data Management: data co-dependency and the market data challenge, managing structured and unstructured data
 

Agenda

12.00 - 1.00pm Registration & Lunch
1.00 - 1.15pm Introduction
1.15 - 1.45pm Keynote Address
1.45 - 2.30pm Industry Update
2.30 - 3.00pm Coffee Break & Networking
3.00 - 3.45pm Panel Discussion
3.45 - 4.00pm Short Break / Roundtable Intro and Organization
4.00 - 4.45pm Roundtables
4.45 - 5.00pm Closing Remarks
5.00 - 6.30pm Cocktail Reception

Please feel free to forward this invite to a colleague. If you have any questions please email events@rimes.com.

 

* Please note that places are limited and registration is mandatory for this forum. Due to the nature of our events, this forum is reserved for asset managers, insurance companies and banks.

 

Email: events@rimes.com
 
 

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