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Financial Regulation

  • Regulatory Burden Relief and Reform & What to Expect
    Regulatory Burden Relief and Reform & What to Expect Hillel Cohn, Oliver Ireland, Jeremy Mandell and Anna Pinedo of Morrison & Foerster, and Jay Baris, Shearman & Sterling Recorded: Jan 18 2018 92 mins
    There was no shortage of news in 2017 and the year ended as dramatically as it began. In this session, we will provide a focused recap of the most significant developments related to regulatory burden relief in the United States. We also will share our insights and predictions regarding the changes to anticipate and prepare for in 2018 in the following key areas:
    · regulatory relief measures taken by or under consideration by the banking agencies;
    · legislative regulatory relief measures affecting financial institutions;
    · the future of the CFPB and fintech related developments;
    · a fiduciary or best interests standard for broker-dealers, the likely next steps to be taken by the SEC and where things stand with the Department of Labor’s rule;
    · the SEC’s rulemaking and enforcement agenda for investment funds and investment advisers;
    · SEC rulemaking priorities likely to affect capital formation; and
    · legislative proposals relating to the securities laws.
  • Enhanced Surveillance: The Future is Now
    Enhanced Surveillance: The Future is Now Vikas Agarwal, PWC - Puja Agrawal, NICE Actimize - Frank Badalamenti, PWC Recorded: Jan 4 2018 53 mins
    A Live Conversation with Industry Experts at PWC and NICE Actimize
     
    Advancements in technology including behavioral analytics, machine learning, and big data are enabling firms to holistically analyze data and adopt a risk based approach to surveillance. But, Enhanced Surveillance programs and determining which technologies to use can be overwhelming to say the least — especially with constant budgetary pressures.
     
    Compliance experts from PWC and NICE Actimize are joining forces to unpack these new innovations and the impetus behind them to help you overcome the challenges associated with new approaches to surveillance.
     
    In this webinar, you'll learn:
    •Business and regulatory mandates (e.g.: MiFID, operational risk) driving the new approach to surveillance
    •Technologies, including Natural Language Processing and Behavioral Analytics, reshaping the scope of surveillance
    •The roadblocks to success and how firms are overcoming them

    Speakers
    - Vikas Agarwal, PWC, Partner, Advanced Risk and Compliance Analytics
    - Puja Agrawal, NICE Actimize, General Manager, Financial Markets Compliance
    - Frank Badalamenti, PWC, Partner, Regulatory Compliance and Investigative Analytics
  • Eligiendo la estrategia correcta de pagos móviles para su negocio minorista
    Eligiendo la estrategia correcta de pagos móviles para su negocio minorista Xavier Places, Director de Marketing, Openbravo Recorded: Dec 14 2017 48 mins
    La tecnología móvil ha cambiado la forma en que los clientes esperan pagar y las empresas minoristas que no aceptan pagos móviles pueden quedarse atrás a medida que la adopción de estas tecnologías se vuelve más generalizada. En China, por ejemplo, las transacciones en efectivo casi han desaparecido y los pagos móviles aumentaron más del doble hasta los $ 5 mil millones en 2016, un país donde la solución POS de Openbravo ya acepta pagos móviles con AliPay y WeChat. Los minoristas tradicionales tienen mucho que ganar al aceptar pagos móviles porque brindan comodidad a los consumidores, modernizan la experiencia de tienda, y animan a los compradores a gastar más.
    ¿Que aprenderá?
    Explicaremos los factores que explican el auge de los pagos móviles y describiremos algunas de las soluciones de monedero móvil más populares, como Apple Pay, Android Pay, Samsung Pay, junto con tecnologías que se centran en países específicos como Alipay, WeChatPay y Google. Tez. El panorama de los pagos móviles está fragmentado y en constante evolución, por lo que aconsejamos a los minoristas que consideren cuidadosamente las tecnologías disponibles. Hay muchas razones para aceptar pagos móviles, pero para hacerlo probablemente necesite actualizar su solución de punto de venta, por lo que le ayudaremos a valorar ventajas y desventajas, y cómo Openbravo puede ayudarle en su estrategia.
  • Choosing the Right Mobile Payments Strategy for your Retail Business
    Choosing the Right Mobile Payments Strategy for your Retail Business Xavier Places, Director of Marketing, Openbravo Recorded: Dec 14 2017 40 mins
    Mobile technology has changed the way customers expect to pay and retail businesses that do not accept mobile payments may get left behind as the technology becomes more pervasive. In China, for example, cash transactions have almost disappeared and mobile payments more than doubled to $5 trillion in 2016 -- a country where the Openbravo POS solution already accepts mobile payments with AliPay and WeChat. Brick-and-mortar retailers have much to gain from embracing mobile payments because they provide convenience for consumers, modernize the in-store experience, and can encourage shoppers to spend more.
    What Will You Learn?
    We will explain the drivers behind the boom in mobile payments and describe some of the more popular “Pay” mobile wallet solutions such as Apple Pay, Android Pay, Samsung Pay, along with technologies that focus on specific countries such as Alipay, WeChat and Google Tez. The mobile payments landscape is fragmented and in constant evolution, so we will advise retailers to carefully consider the technologies available. There are plenty of reasons to accept mobile payments, but to do so you will probably need to upgrade your POS systems, so we will help you weigh up the advantages and disadvantages and outline how Openbravo can help you realize your strategy.
  • The Millennial Workforce
    The Millennial Workforce Timothy Lietz, Director of Risk Advisory Services, Experis Finance Recorded: Dec 5 2017 62 mins
    The Millennial Generation is one of the five generations in today's workforce and now, also the largest! Learn what motivates this powerful generation as they move into leadership roles and mold the future direction of organizations they work within.

    This informative webinar will provide an in-depth look at the Millennial workforce and cover the following aspects of this new generation:
    •A look at the five generations interacting in today's workforce
    •An overview of Millennial Generation characteristics
    •Management tips for all generations to consider
    •Current examples of leading and mentoring Millennials
    Whether you lead Millennials today, have them as teammates or colleagues, or you report to one, this session provides insight into what motivates this powerful generation and the ways they will change our workforce over the coming years.
  • Regulatory Rx: Treating Root Cause
    Regulatory Rx: Treating Root Cause AxiomSL Recorded: Dec 4 2017 73 mins
    AxiomSL , along with the Enterprise Data Management Council hosted a webinar on titled Regulatory Rx: Treating Root Cause. The webinar focused on the overview of regulatory reporting and its data implications as well as the data challenges and opportunities firms face.
  • Looking Ahead to the 2018 PRI Reporting Cycle
    Looking Ahead to the 2018 PRI Reporting Cycle Responsible Investor + ISS-Ethix Recorded: Nov 16 2017 61 mins
    Looking Ahead to the 2018 PRI Reporting Cycle
    16th November 2017
    11:00 AM EST | 8:00 AM PST | 4:00 PM GMT | 5:00 PM CET

    Join this one hour webinar discussing the complexities of PRI signatory reporting and emerging trends investors should consider in fulfilling client mandates and meeting their active ownership responsibilities.


    Confirmed Speakers:
    • Elina Rolfe, Head of Reporting and Assessment, PRI
    • Adrie Heinsbroek, Head of Responsible Investment, NN Investment Partners
    • Bruce M. Kahn, PhD, Portfolio Manager, Sustainable Insight Capital Management
    • Ulrika Hasselgren, Global Head of Responsible Investment Strategy & ESG Integration, ISS 
     
    Moderated by Tony Hay, Publisher, Responsible Investor

    This webinar is in partnership with ISS-Ethix
  • Digitized identity verification - the future of ID & KYC
    Digitized identity verification - the future of ID & KYC Sarah Clark,Mitek Systems, Mike Montemarano, JP Morgan & Supriyo Guha, GENPACT Recorded: Nov 14 2017 49 mins
    Financial institutions from all over the world are facing increasingly strict regulations regarding the verification and authentication of their customers’ identity. Furthermore, with the increasing amount of data breaches, status-quo identity verification processes have not only been compromised but have also made complying with current regulations harder. This ever-changing environment has forced a tipping point for organizations to regard the adoption of new technologies for identity verification as a must-have rather than a nice-to-have.

    In the end, financial institutions must satisfy consumers’ demands for speed and ease of use to prevent them from going to the competition. To gain a competitive edge, remain compliant, and offer a frictionless and user experience, it is imperative for FIs to invest in technologies that bridge the compliance-convenience gap.
  • Integrating ESG into your passive strategy
    Integrating ESG into your passive strategy Responsible Investor & FTSE Russell Recorded: Nov 14 2017 60 mins
    This webinar will discuss ESG integration into passive investing and smart beta strategies. The world of index-based investing is in flux as ESG integration into passive is on course to become the norm for new mandates as we enter the era of “Smart Sustainability”.

    DISCUSSION TOPICS:
    • The why - rationale from major asset owners on integrating ESG into passive strategies
    • Global developments - ESG, sustainability metrics and indexes
    • Smart Sustainability - bringing together ESG with smart beta factors
    • The challenges - corporate disclosure and access to data
    • Corporate engagement - passive funds/indexes driving changes in corporate behavior
    • The action and implementation - the pension fund perspective
    • Live Q&A with the audience members

    SPEAKERS:
    David Harris, Head of Sustainable Investment, FTSE Russell
    Mark Thompson, CIO, HSBC Bank UK Pension Scheme
    Maurice Versaevel, Investment Strategist, PGGM
    Moderated by Daniel Brooksbank, Editor, Responsible-Investor.com

    This webinar is in partnership with FTSE Russell
  • PSD2 and Jenny's Washing Machine
    PSD2 and Jenny's Washing Machine Jenny the animation Recorded: Nov 13 2017 2 mins
    Animation that talks about how PSD2 could impact customer journey and how PSPs can mitigate against this by securing payments using transaction risk analysis instead of strong customer authentication
  • Demostración Práctica: Progrese en la Omnicanalidad con Openbravo Commerce Cloud
    Demostración Práctica: Progrese en la Omnicanalidad con Openbravo Commerce Cloud Aurora Gete, Senior Pre-Sales Consultant en Openbravo Recorded: Nov 9 2017 50 mins
    Los clientes esperan ahora que los minoristas ofrezcan capacidades omnicanal y, si no pueden ofrecerlas, pueden irse a otro lado. Entonces, ¿cómo implementar su estrategia omnicanal con éxito y evitar los problemas que han afectado a muchos minoristas? Su software de venta minorista puede ser el punto más débil. Elija Openbravo Commerce Cloud y obtenga una solución innovadora y ágil basada en la nube diseñada para situar a la omnicanalidad en el centro de sus operaciones.

    Lo que aprenderá:
    En este webinar, aprenderá cómo Openbravo Commerce Cloud ayuda a desbloquear la agilidad y la innovación requeridas para adoptar la omnicanalidad en sus operaciones minoristas a través de robustas capacidades de punto de venta (POS) y gestión minorista sobre una plataforma rentable, confiable y escalable en la nube.

    Demostraremos cómo esta solución altamente flexible, móvil y lista para la nube le ayuda a soportar escenarios omnicanal esenciales como la compra online y recogida en tienda (BOPIS), compra online y devolución en tienda (BORIS) y otros, que aumentan la satisfacción del cliente durante su proceso de compra.
  • Practical Demo: Change the Game in Omnichannel with Openbravo Commerce Cloud
    Practical Demo: Change the Game in Omnichannel with Openbravo Commerce Cloud Aurora Gete, Senior Pre-Sales Consultant at Openbravo Recorded: Nov 9 2017 43 mins
    Customers now expect retailers to offer Omnichannel capabilities and if you cannot deliver, they may go elsewhere. So how do you implement your omnichannel strategy successfully and avoid the pitfalls that have affected many retailers? Your retail software may be the weakest link. Choose Openbravo Commerce Cloud and gain an innovative and agile cloud-based solution designed to put omnichannel at the center of your retail operations.

    What you will learn:

    In this webinar, you will learn how Openbravo Commerce Cloud helps unlock the agility and innovation it takes to embrace omnichannel in your retail operations with robust POS and Retail Management capabilities and a cost-effective, reliable and scalable cloud-based platform.

    We will demonstrate how this highly flexible, cloud- and mobile-enabled solution helps you support essential omnichannel scenarios such as Buy Online Pickup in Store (BOPIS), Buy Online Return in Store (BORIS), and other scenarios that boost customer satisfaction during their shopping journey.
  • The Sustainable Development Goals: A new tool for putting value on values?
    The Sustainable Development Goals: A new tool for putting value on values? Responsible Investor & Thomson Reuters Recorded: Nov 8 2017 58 mins
    The Sustainable Development Goals: A new tool for putting value on values?
    Wednesday 8th November, 9:00 EST / 14:00 GMT / 15:00 CET

    • The SDGs are 17 aspirational Global Goals launched in 2015 that are gaining traction amongst investors, companies and policy-makers
    • Some of the world’s leading investors have started to allocate capital to the SDGs, recognising a new way to identify and unlock value
    • New products such as funds and indices themed around the SDGs are in the pipeline or in development
    • The SDGs: a new language you need to learn!

    Speakers:
    Xander den Uyl, Board of Trustees, ABP
    Christopher Greenwald, Executive Director, Sustainable and Impact Investing, UBS Asset Management
    Carly Greenberg, Senior ESG Analyst, Walden Asset Management
    Tim Nixon, Head of Sustainability, Thomson Reuters

    Moderator: Daniel Brooksbank, Editor, Responsible Investor

    This webinar is presented in partnership with Thomson Reuters
  • The Truth & Consequences of QE
    The Truth & Consequences of QE Presented by: Matt Toms, Chief Investment Officer of Fixed Income at Voya Investment Management Recorded: Nov 2 2017 61 mins
    Replay eligible for one CFP Board® and IMCA® CE credit.

    Nearly 10 years after its unprecedented response to the 2008 crisis, the Fed is finally making plans to unwind $4 trillion of fixed income investments. Other global central banks are not far behind. From interest rates to credit spreads and defaults, the impact of these actions will reach all corners of the fixed income market. Matt Toms Fixed Income CIO for Voya Investment Management will discuss:

    • Pitfalls and risks in the current fixed income market;
    • Overlooked opportunities; and
    • What investors should consider when building fixed income portfolios to navigate this uncharted environment.

    Matt will answer attendees’ questions during the session and will be available to continue the discussion on APViewpoint.

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    The CFP Board® has accepted this program for one hour of CE credit towards the CFP® certification. In addition, IMCA® has accepted this program for one hour of CE credit towards the CIMA®, CIMC® and CPWA® certifications. If you provide the required information during the webinar registration process and stay for the entire session we can report your attendance to these organizations.
  • Are Your Fraud Operations Ready for PSD2?
    Are Your Fraud Operations Ready for PSD2? Gabriel Hopkins, Matthew Cox, Russell Robinson Recorded: Nov 2 2017 51 mins
    How will you balance Strong Customer Authentication with customer service? Can you implement PSD2 without causing friction in the customer journey?

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    In a few months time, PSD2 becomes law across the European Economic Area. the regulated use of Strong Customer Authentication changes how payment service providers interact with their customers. Managed badly, disruptions to the payment process will see customers take their business elsewhere, but those PSPs who manage it well, will have a competitive advantage.

    Join our PSD2 webinar to explore the likely impact of PSD2 on customer relationships and learn what you need to do to prepare.

    * Strong Customer Authentication vs Transaction Risk Analysis - Learn how Transaction Risk Analysis helps customer relationships, when you may use is and what you need to do NOW to prepare your fraud operations for PSD2.

    *Putting Customer Communications at the Heart of Your PSD2 Strategy - When additional authentication requirements stop your customers from managing their accounts or making payments, how can you communicate with them to get things back on track fast?

    *Hype or Reality? PSD2 and Machine Learning - Will PSD2 be the catalyst for you to add machine learning capabilities to fraud management? How will it help and what is it about PSD2 that builds the case for artificial intelligence and machine learning?
  • Digital Coin Offerings: Recent SEC Guidance and Tax Considerations
    Digital Coin Offerings: Recent SEC Guidance and Tax Considerations Morrison & Foerster's Joshua Klayman, Jay Baris, Alfredo Silva, Daniel Kahan and Shiukay Hung Recorded: Oct 31 2017 90 mins
    Token sales, also known as ICOs, represent a new capital-raising method that is being explored by a variety of companies in the market. In the past few months, the US Securities and Exchange Commission (SEC) has provided guidance concerning token sales. Although the SEC did not declare that all digital tokens constitute securities, it cautioned that certain tokens may be securities and that existing securities frameworks apply to token sales, notwithstanding that digital tokens may be distributed via distributed ledger technology.

    In addition, the IRS has published guidance relating to tokens that are “convertible virtual currencies” and has indicated that such tokens generally are treated as property for US federal income tax purposes.
    Token sales, and the legal and regulatory landscapes in the US and around the world with respect to digital tokens, continue to evolve.

    This webinar will explore the current legal, regulatory and tax landscape relating to token offerings and will consider the following:

    •What are digital tokens and how are they typically used and sold?
    •What guidance has the SEC provided regarding token sales, and what is the significance of that guidance?
    •What guidance has the IRS provided regarding tokens and what tax considerations are relevant to tokens and token sales?
    •What are some of the other legal matters that token issuers and their counsel should be aware of when contemplating launching token sales?
  • Reduce Friction and Cut Compliance Costs with Digital ID Verification
    Reduce Friction and Cut Compliance Costs with Digital ID Verification Joe Bloemendaal, Vice President, Sales EU, Mitek Systems; Chris Phillips, Compliance Department, Gain Capital Recorded: Oct 25 2017 41 mins
    The latest EU Anti-Money Laundering directive will significantly increase the frequency with which financial service providers need to conduct ‘Know Your Customer’ (KYC) checks. To maximise the effectiveness of digital transformation initiatives, financial services and other regulated industries must find effective digital identity verification solutions.

    Current methods for identity verification checks place an enormous cost burden on banks, payments processors, and lenders, as most methods rely heavily on manual processes. Furthermore, these processes are cumbersome for users, driving away potential customers.

    Figuring out how to balance the competing needs of compliance and costs against the expectations of today’s digital native users is key to any financial service provider looking to win and retain new customers.
  • SWIFT@Sibos Day 4
    SWIFT@Sibos Day 4 SWIFT Recorded: Oct 20 2017 5 mins
    We're covering the Sibos conference in Toronto this week and are here to bring you highlights from the fourth day of the event.

    Listen in to hear top news from day 4 including:
    -Review of the conference overall
    -Students and the SWIFT Institute Challenge
    -Closing plenary highlighting industry collaboration
  • SWIFT@Sibos Day 3
    SWIFT@Sibos Day 3 SWIFT Recorded: Oct 19 2017 6 mins
    We're covering the Sibos conference in Toronto this week and are here to bring you highlights from the third day of the event.

    Listen in to hear top news from day 3 including:
    -Discussions on financial crime compliance
    -How developing countries are using SWIFT's KYC registry
    -Further buzz on SWIFT GPI
  • Customer Due Diligence after the Money Laundering Regulations 2017
    Customer Due Diligence after the Money Laundering Regulations 2017 Jane Jee, CEO, Kompli-Global Recorded: Oct 19 2017 41 mins
    Do you really know your customer? Customer Due Diligence after the Money Laundering Regulations 2017 and the Criminal Finances Act 2017

    * How do you ensure you conduct a thorough search for, and provide ongoing monitoring of, adverse information on existing and potential clients?
    * How do you prove you are conducting compliant CDD?
  • SWIFT@Sibos Day 2
    SWIFT@Sibos Day 2 SWIFT Recorded: Oct 18 2017 4 mins
    We're covering the Sibos conference in Toronto this week and are here to bring you highlights from the second day of the event.

    Listen in to hear top news from day 2 including:
    -SWIFT's launch of their corresponding banking suite
    -The workshop hosted by Inno Tribe
    -Exciting panels on Security and Information Sharing
  • Cultivating Your Strategic and Creative Thinking
    Cultivating Your Strategic and Creative Thinking Dr. Ted Marra Recorded: Oct 18 2017 72 mins
    Join our guest, Dr. Ted Marra as he introduces his new strategic leadership course in Global Risk Academy.

    During the webinar we will cover:

    How does a truly strategic organization think? What is strategic thinking versus strategic planning? What are the vital few factors that will determine your organisation’s long-term success or failure and are they on your radar screen?

    Who should attend.

    People with 10 years management experience minimum up to and including C-Level in all disciplines responsible for strategic decisions or large scale operational issues - so they have large budget and many people reporting to them.

    Managers and senior management from all areas of the organisation having responsibility for planning and achievement of key business objectives.

    Why you should attend.


    - Reflect on how you got where you are as an organisation;

    - What factors were critical to your success? What factors were the basis for your success?

    - What held you back – prevented you from being even more successful?
    - What could you have done differently


    Understand what are the most critical factors that will better ensure your organisation is a “winner” in the future (e.g., next 3-5 years).

    Find out which ones you may be missing and what to do about it before it’s too late and you become just an “average or good” organisation when, with a little effort and the right strategic thinking and creativity, you could take the organisation to the next level of performance and move toward “greatness”.

    How to build exceptional stakeholder relationships and why doing this is critical in especially in turbulent times.
  • SWIFT@Sibos Day 1
    SWIFT@Sibos Day 1 SWIFT Recorded: Oct 17 2017 5 mins
    We're covering the Sibos conference in Toronto this week and are here to bring you highlights from the first day of the event.

    Listen in to hear top news from day 1 including:
    -SWIFT's big announcement regarding their global payments innovation (gpi) service
    -the release of their initial findings on a new DLT proof of concept
    -top execs talking about innovations in instant payments
    -key takeaways from the opening plenary
  • Conseguir la excelencia operacional en el comercio minorista omnicanal
    Conseguir la excelencia operacional en el comercio minorista omnicanal Maarten Tromp, Director de Product Management en Openbravo Recorded: Oct 10 2017 53 mins
    La excelencia operativa es más importante que nunca en el entorno actual del retail omnicanal. El aumento de las expectativas de los clientes y la mayor competencia a través de los distintos canales desvelarán rápidamente a aquellos minoristas que no cumplen sus promesas. Esto ha llevado a los minoristas a explorar qué estrategias de excelencia operativa son las que mejor apoyan la evolución de las tiendas físicas y los flujos de trabajo multidireccionales requeridos para la venta al por menor de omnicanal. Para lograr este objetivo, el software de venta minorista ofrece herramientas indispensables – integración de datos, operaciones y tecnología – que son requisitos previos para operar con éxito en un entorno omnicanal.
    Lo que aprendera:
    Este webinar revisa los principales principios de la excelencia operacional y los nuevos retos y procesos operativos exigidos por el retail omnicanal. Usted aprenderá una plataforma de comercio moderno como Openbravo puede ayudarle a aplicar los principios de excelencia operacional y hacer prosperar su negocio de retail omnicanal.
  • The TeleWare Microsoft Story
    The TeleWare Microsoft Story Mark Elwood Recorded: Oct 10 2017 3 mins
    TeleWare work in collaboration with Microsoft to help our partners and their customers achieve more through better communications. This short video explains how.