Regulatory Compliance- Improving Effectiveness, Efficiency and Controlling Costs
Wednesday 7th December 2016
2.00pm BST/ 9.00am EDT
The world of compliance gets more complex every day as the regulators requirements continue to stretch already overworked and overloaded compliance teams. In particular the levels of data that compliance are expected to acquire, analyse and continually monitor is growing considerably and this is only going to get worse with major new regimes like MiFID getting closer.
What are the options for firms to ensure they adhere to the regulators requirements efficiently? Hiring and training more people has been the answer for many but firms do not have bottomless pits for these costs and at some point other options have to be considered.
One answer is to embrace technology and all it has to offer for example, the ability to manage large volumes of data, analyse with great accuracy and with speed not possible with human involvement.
Join this webinar to find out more about the benefits of using technology in areas like:
• Personal Account Dealing
• Conflicts Management
• Certifications and Attestations
• Automated Workflows & Responsibility Maps
• Marketing Restrictions
You will hear from two industry experts in Ron Gould, former senior adviser to the FSA and now Chairman of ComplySci Europe and Ian Murrin, CEO of Digiterre who will share their insights and also take you through two real life case studies. These will demonstrate how firms could have avoided the wrath of Regulators if they had made better use of technology to manager their compliance obligations.