Financial Institutions are simultaneously dealing with increased compliance demands while aggressively executing strategies to mitigate risks. Traditionally, IT investments in archiving solutions have been defensive in nature for litigation/legal discovery or responding to regulator’s demands. Next generation solutions will be deployed to proactively help leaders with risk mitigation issues such as policy, compliance, supervision and eDiscovery as well as to mine archived data for improved decision making and greater business insights.Next Generation Financial Services Compliance & Risk Mitigation – A Roundtable Lunch for Compliance, IT, Risk Management & Legal Leaders from Major Financial Institutions is invitation only and limited to 40 executives in the New York Tri-State area. We will host an interactive lunch that will share lessons learned and experiences about how leading financial institutions are preparing for and executing their next generation compliance and risk mitigation strategies, especially as the market consolidates. Press and media will not be permitted.
We will be addressing the following key topics:
- The role and limitations of Microsoft O365 for risk mitigation & archiving
- Insights from FINRA’s January 4th, 2017 Regulatory and Examination Priorities Letter
- Best practices and supporting technology for next generation compliance and risk mitigation strategies, given recent vendor and market shifts
- Integration of archiving systems with business intelligence & decision support platforms
PHOTOS FROM THIS EVENT
Compliance Subject Matter Expert –
VP, SCI/IAP Compliance Group Manager, US Privacy Office
If you have received an invitation and would like to RSVP, or if you would like additional information and to be considered for participation, please email Steve Etzler at email@example.com. While there is no cost to participate, we require registrants to show up and actively contribute to the conversation.
March 23, 2017
41 W. 42nd St.
New York, NY 10036
12:00 pm – 2:00 pm
40 Compliance, IT, Risk Management & Legal Leaders from Major Financial Institutions in the Greater New York Area
|12:00 PM – 12:30 PM||Registration and Networking Lunch|
|12:30 PM – 1:15 PM||Panel Discussion|
|1:15 PM – 2:00 PM||Moderated Roundtable Discussion Groups|
Business Development Institute (BDI), founded in New York City in 2001, is an award-winning B2B event agency that specializes in producing invitation-only, thought leadership-driven customer acquisition roadshow events that attract our clients’ buyers while providing valuable content and networking opportunities for their prospects. BDI has been educating and connecting thousands of business leaders through hundreds of B2B events on a nationwide basis since 2001. Accelerate Events are BDI’s exclusive demand generation programs that fills our customer’s sales pipelines with qualified leads while curating unique thought leadership content.