SIFMA's Listed Options Symposium brings together industry leaders, representing various roles across the market segment, for in-depth discussions on the…
SIFMA AMG Operations Workshop
Managing Operational Risk in Today’s Environment
This workshop will explore how the current operational environment impacts managing operational risk at asset management firms, and what are some of the key strategies firms employ in managing operational risk. As the news about cyber breaches increase and as such breaches intensify, the workshop also covers how firms bridge the gaps between pure operational risk, technology, cyber and data security.
11:30am – 12:00pm
12:00pm – 1:00pm
This presentation will discuss the current threat landscape of cyber security, touch on some of the recent incidents and scenarios, and discuss root causes of cyber breaches. The speakers will discuss what asset managers can do outside of technology to prevent cyber breaches by building out second line of defense.
Shawn J. Connors
1:00pm – 2:15pm
As the increasing number of high profile cyber breaches demonstrates, it is critical for asset management firms to have strong IT security capabilities, such as cyber security protocols and testing, integrated into the firm’s systems and operations. Bridging the gap between operational risk and cyber security is one of the key areas of development. This panel will outline key cyber security requirements, particularly what regulators are looking for in their examinations, and what practical steps buy side firms can take to integrate data security and cyber resiliency into operational risk. The panel will speak about cyber related key risk indicators, and touch cyber security insurance.
Etsuko Jennings, Shawn J. Connors, Joseph Haddock, Michael Maffattone, Robert Rosenzweig
2:15pm – 2:30pm
2:30pm – 3:45pm
The operating environment is rapidly changing with new technologies, automation, innovation in products and a constant stream of new global regulations impacting the asset management industry. While regulatory pressures increase, the fee and cost pressures increase as well. How do asset managers think about operational risk control in this environment? This panel examines operational risk in relation to change management, implementation of new regulations, emerging technologies such as RPA (robotic process automation, machine learning, artificial intelligence), and current data trends such as big data vs. lean data management.
Louis J. Rosato, III, Bill Beaulieu, Steve Fazio, Jennifer Finnerty, Gavin Little-Gill, Leonora Xhekaj
3:45pm – 4:00pm
4:00pm – 5:30pm
SIFMA Conference Center
New York, NY 10271
Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.
With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.
If you require hotel accommodation, a special SIFMA rate is available at the following:
Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY 10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)
Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900