Operations Conference & Exhibition
Mark Your Calendar! Please mark your calendar to join us on May 16-19 for the 2022 Operations Conference & Exhibition…
On demand content now available.
Already Registered? View On Demand Now.
With the wave of new regulatory technology hitting the financial services industry, SIFMA RegTech 2020 will cover the resulting challenges of assessing legal and compliance risks associated with artificial intelligence, robotics process automation, e-communications, collaborative tools, and more.
Join industry experts, regulators, and innovators to examine the legal and compliance risks and rewards when implementing regtech solutions and discover cutting-edge products that will affect how firms implement compliance responsibilities in the future.
Program topics will include:
On demand content now available.
Already Registered? View On Demand Now.
With the wave of new regulatory technology hitting the financial services industry, SIFMA RegTech 2020 will cover the resulting challenges of assessing legal and compliance risks associated with artificial intelligence, robotics process automation, e-communications, collaborative tools, and more.
Join industry experts, regulators, and innovators to examine the legal and compliance risks and rewards when implementing regtech solutions and discover cutting-edge products that will affect how firms implement compliance responsibilities in the future.
Program topics will include:
Registration Rates | $99 |
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Registration Rates | $199 |
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Registration Rates | $59 |
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Member | Non-Member | Regulator | |
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Registration Rates | $99 | $199 | $59 |
Registration questions? Contact Caitlin Sargent | Program questions? Contact Melissa MacGregor
Cancellation within 48 hours of the virtual event will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.
Please note: Access instructions will be sent within 24 hours of the start of this virtual event.
10:00am – 11:00am
11:00am – 11:30am
, Melissa MacGregor
Managing Director and Associate General Counsel
11:30am – 12:30pm
SIFMA members are exploring and implementing artificial intelligence and machine learning based compliance solutions for many aspects of their businesses. At the same time, questions have emerged about how this technology can be implemented under existing regulatory regimes. This panel will explore how firms are considering these challenges both in the US and globally.
Alan Charles Raul, Sarah Cole, Erwin Eichmann, Heather Gentile, Sunil Kapur, Michael Tae
Associate General Counsel - Technology and Intellectual Property
Corporate Vice President, Chief Transformation Officer
12:30pm – 1:00pm
An interview with FIS’ resident RegTech strategist will cover what it means for you and your organization in the pre- and post- pandemic world. Hear about the pillars for success when building your RegTech strategy.
Jack Baxter, Harry Stahl
Director, Business and Solutions Strategy, Capital Markets Solutions
1:00pm – 2:00pm
In the winter of 2020, many firms moved the majority of their employees to remote work almost overnight. As a result, firms have had to ramp up their electronic communications and conferencing capabilities nearly overnight, causing many new questions about the compliance of platforms that had not previously been used by broker-dealers and asset managers. This panel will look at how firms are meeting their compliance responsibilities through policies, internal controls and vendor solutions.
Marla Moskowitz-Hesse, Orrie Dinstein, Marc Gilman, Iain Duke-Richardet, Laura Slagle
EVP, Head of Compliance Program, Strategy, Planning & Governance
Wells Fargo
2:00pm – 3:00pm
US financial regulators have taken on many new regtech issues and initiatives over the past several years. This panel of policymakers will discuss the newest initiatives and how they are paving the way for industry innovation while preserving trust and integrity in the financial services industry.
Caroline D. Pham, Kavita Jain, Beth Knickerbocker, Melissa Netram, Valerie A. Szczepanik, Haimera Workie
Deputy Associate Director, Innovation Policy
Director of LabCFTC and Chief Innovation Officer
Head of the Strategic Hub for Innovation and Financial Technology
The reason behind the explosion of modern electronics communications tools is clear – the need and desire to communicate with clients over the channels of their choice. It’s not about technology per se – it’s about meeting your business goals by responding to client demands before your competitors can. Changing demographics mean that it is increasingly likely that your client uses email infrequently – if at all – and will expect to interact on a social or mobile network.
With the rapid adoption of social and collaborative platforms comes implications to supervisory review – and to financial services compliance more broadly – that are enormous to firms of all shapes and sizes.
Is your financial services organization required to comply with banking and/or securities regulatory compliance obligations? If so, watch our On-Demand session about the benefits of automating your regulatory change management (RCM) process. In this session, Elaine Duffus, Senior Specialized Consultant and Steve Annino, Director, Solution Engineering, provide practical steps you can take towards automating your RCM process, and an explanation of how Wolters Kluwer’s automated solutions could help you get there. Our regulatory change content can be implemented into our proprietary technology or yours, so you can continue conducting business as usual during these unusual times.
Digital onboarding is no longer a luxury but a necessity for wealth management firms today. The new norms of social distancing greatly reshape how clients will interact with their firms now and well into the future. Those who can manage to provide superior experiences to clients without asking them to leave the comfort of their home will rise to the top.
The impacts and lessons of this pandemic are many. The time to act is now. Firms that are able to quickly implement digital solutions to continue servicing their clients will notice a significant competitive advantage.
Join this session to learn no-fail agile implementation methodology so you can get a digital onboarding solution live, quickly at your firm.
Join an upcoming panel discussion with senior leaders from the buy side and sell side discussing technology transformation. This webinar focuses on how technologies such as AI, blockchain, the Cloud and digital are helping innovative firms adapt to challenges and creating new revenue streams.
Topics covered include:
• Adoption trends in next-gen technologies, based on a survey of 500 executives globally
• How the new normal has impacted technology strategies
• Overcoming hurdles and accelerating innovation
• Where are we heading? Future trends in next-gen technology
Webinars, Webcasts, Virtual
Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.
Media Inquiries
Contact Katrina Cavalli at 212.313.1181.
Media Registration
Contact Evan Grogan at 212.313.1134.
Policy
View SIFMA’s official press policy.
Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.
Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.
Cancellations and Substitutions
Cancellation within 48 hours of the virtual event will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.
May 16 – 19, 2022
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