Financial Regulation

[Live Recording] Join us in this webinar, where we arm ourselves with knowledge that can help our organization deter and detect organizational fraud. Learn the most common fraud practices, the best fraud detection and prevention activities, as well as recent SEC fraud cases.

Please note: CPE credit not available for this playback

Accessibility is often the last thing to be considered in the digital development process. In the physical world, accessibility is entrenched into planning, development and execution - so why isn’t it in the digital world?

In this webinar See Wah Cheng (Senior Product Manager), Charlotte Sferruzza (Product Design Lead) and Sergio Moura (Senior Software Engineer) talk through their experiences in integrating accessibility at the heart of our product development process.

Register now to learn:

- What is accessibility, and how does it impact us all
- The business impact of ignoring it
- Why accessibility is more important than ever in a maturing digital world
- How we’ve assessed our own product and workflow to embed accessibility at their heart - and what you can learn from our experience

As part of their SFTR preparation process, many firms in the industry will need to know more about their clients in order to prepare adequate plans in place ahead of the deadline in advance of this important regulation.

Having a structured approach can, no doubt, help financial institutions to achieve an effective client outreach process necessitated by new regulatory compliance obligations, such as, in this case, SFTR, ensuring a fully tracked, efficient and client-centric approach to collecting data and documentation.

In this webinar, UnaVista and Broadridge come together to discuss 5 key components of that outreach that are critical but can sometimes get overlooked, including:

• How to get the required reference data (LEI, ISINs)?
• Who will generate UTI?
• Are they small non-financial counterparties (NFC-)?
• Do they have a non-EEA reporting obligation?
• Agreeing on the workflow

Our panel of experts will also discuss quick polls and answer any audience questions during the live webinar and real-time Q&A session.

11 September 2019 at 3.00pm London | 4.00pm Paris | 10.00am New York

Even if you cannot attend on the date, we encourage you to register anyway. The webinar will be recorded and we’ll make the link available to all registrants who are unable to join us live.

Expert Panel:
• Catherine Talks, Product Manager, UnaVista | London Stock Exchange Group; and
• Dean Bruyns, Senior Product Manager, Message Automation | Broadridge Financial Solutions.

Hosted by: UnaVista | London Stock Exchange Group

[Live Recording] It's time to spruce up the close checklist! Join us in this webinar where we will revisit best practices as well as practical tips to help improve the financial close process. Whether you have a close checklist, a close calendar, or even if you are still forming a close process, these practices will surely help your period-end close.

Please note: CPE credit not available for this playback

[Live Recording] It's time to show some love for the workhorse of the financial close process -- balance sheet account reconciliations! Join us in this webinar, where we share best practices on how to think about the reconciliation work each month, when best to do reconciliations, how they should be prepared, and some common pitfalls to avoid.

Please note: CPE credit not available for this playback.

Responsible Investor is proud to present a new edition in our sustainable finance webinar series focused on the global implications of the European Commission’s Sustainable Finance Action Plan, with updates on developments in Asia and North America. Coming after the G7 meeting in Biarritz, France at the end of August, this webinar will unpack the implications of the sustainable finance regulatory agenda for global investors.

As the world grapples with populist politics, worsening economic inequality, and the prospect of climate breakdown, this is a crucial time for sustainable finance policy to reorient global capital markets. Against a backdrop of macroeconomic risks, this unique webinar will consider how sustainable finance policy on three continents could impact the banking and asset management industries.

With the European Commission leading action on new rules covering investment mandates, sustainability definitions and green finance fiscal policy tools, this webinar will reflect on ‘the HLEG-effect’. Speakers will consider how sustainable finance regulation coming out of Brussels and Beijing could impact investors in North America and other parts of the world.

Speakers:
Barbara Zvan, Chief Risk & Strategy Officer, Ontario Teachers‘​ Pension Plan and a member of the Canadian Government Expert Panel on Sustainable Finance

Michael Sheren, Senior Advisor, Bank of England and Co-Chairman of the G20 Sustainable Finance Study Group

Morgan Després, Deputy Head of Financial Stability at Banque de France and Head of the Central Banks and Supervisors Network for Greening the Financial System (NGFS)

Moderator:
Sophie Robinson-Tillett, Deputy Editor, Responsible Investor

[Live Recording] Join us for an overview of the SEC's Whistleblower Program. Learn about how the program is set up, the extent of damages awarded to date, and the resulting benefits the program has produced for our society at large.

Please note: CPE credit not available for this playback

An insight into the industry's leading regulatory automation solutions and services, market research, insights and best practices. This special webinar aims to ensure compliance, regulatory, risk and operations professionals are armed with a key insights into how to solve the problem of regulatory change when it comes to KYC, AML & Client Lifecycle Management. This webinar will:

Watch our recent webinar to learn more about:

Market Trends & Regulatory Outlook
The Fenergo approach to Regulatory Change
The Fenergo regulatory rules engine

In this one-hour presentation, I will give a nontechnical overview of the Libra proposal by Facebook, followed by Q&A.

How to solve the top 3 information governance challenges for financial services

Information governance got way more challenging in recent years. Escalating volumes of financial services regulation, and complexities linked to the intersecting worlds of records, data, privacy and security, have put age-old manual processes and outdated systems to the test. The frequency and severity of enforcement fines proves that many financial institutions are failing to deliver on compliance.

Join this 30-minute review, with information governance specialists Lynn Molfetta and Lee Fairey, to learn how to solve today’s top three challenges:

1.Navigating the regulatory landscape
2.Setting the right policy and controls
3.Distributing and implementing policy and controls enterprise-wide, to ensure compliance

Featuring:
Lynn Molfetta. An experienced financial services information governance specialist, Lynn has been responsible for global records management at American Express, Citi and Deutsche Bank, in a career spanning more than 30 years. With a focus on enforcing compliance and reducing legal and regulatory risk, Lynn has specialist expertise in IT Strategy, Management, Corporate Governance, Risk Management, and Business Development.

Lee Fairey. Prior to his current role as Head of Customer Success at CUBE, Lee gained 15 years first-hand experience managing information and technology risk at a variety of financial institutions, including RBS, Barclays, BNY Mellon, BNP Paribas and Citi. Lee’s specialist expertise includes the application of regulatory technology (RegTech) to capture regulatory intelligence and manage regulatory change for information governance.

Since the financial markets collapse of 2008, the financial services sector has been engulfed in new rules and regulations. Compliance teams must track regulatory data, and assess the impact of every regulatory requirement, to avoid breaches and punitive enforcement fines.

With 45 new regulatory documents to deal with every week, and more than 53,000 regulatory updates issued every year, manual approaches to monitoring regulatory intelligence and managing regulatory change are putting financial services businesses at risk.

Artificial intelligence (AI) allows you to marry human expertise with the almost limitless ability of technology to consume and analyze huge amounts of data, automate manual processes and reduce complexity. In doing so, financial institutions can leverage AI to respond to regulatory change more efficiently and effectively.


Join regulatory change expert, and Head of Product Management at CUBE Elliot Burgess to learn

Why AI is the only answer to addressing big data compliance challenges, at scale
What elements of AI are driving value for Risk and Compliance teams (e.g. Machine Learning, Natural Language Processing, Robotic Process Automation)
How regulated financial institutions are utilizing AI today to ease and accelerate regulatory change processes

NOTE: The audio during the first five minutes of this webcast is audible but slightly distorted. Apologies for any inconvenience.

Financial service companies will need to lead the charge in flexible and remote working if they are to attract the best possible talent. Something that has never been more important against a backdrop of Brexit and a growing millennial and Gen Z workforce.

Today, only one in six (15%) employees work in businesses that don’t offer flexible working. What used to be a perk is now a mandatory offering.
Alongside the importance of employee satisfaction, the UK is also facing a productivity challenge, on average the UK is 31% less productive than France.

Join Mark Elwood, Director at TeleWare, Dr Lucy Green, CEO & Business Development Expert at Larato and David Mellard, Director and Founder at Bedrock HR, as they discuss:
•The flexible working challenges financial services companies face – including security and data protection
•Can financial services companies safely implement a bring your own device (BYOD) policy?
•How to use tech to increase productivity
•Scalable IT solutions for growing companies

Reflecting on the EU legislative changes in sustainable finance: How organisations and individuals can master the educational challenge?


- While the EU's Action Plan for Financing Sustainable Growth and it's Technical Expert Group have made exceptional progress towards creating a financial market infrastructure that is conducive to a truly sustainable financial market, the exceptional amount, ambition and execution of the work have also led to an unprecedented educational challenge in the sustainable finance space


- Prof. Hoepner, one of only two TEG members appointed in personal capacity, will share his reflections on the significant progress to date as well as the long term ambitions for taxonomy, trajectory & co. and explain how these can contribute to a conflict-free Capitalism


- He will furthermore contrast Friedman's intransparent definition of risk with Markowitz' transparent one and explain why full risk transparency is crucial to measure and understand the merits of sustainable investing. Prof Hoepner is convinced that any investor practicing full risk transparency and accurate return per unit of risk measurement will deliver superior performance for clients and fully understand Fuerer's credo that "unsustainable investing is non-economic".


- Finally, Andreas will give some very practical tips how organisations and individuals can master this significant educational challenges, both the challenge resulting from the exceptional recent progress on the area of green finance as well as the challenge originating from decades of intransparent risk definitions and other misunderstandings of standard finance.

Biometric technology has been gathering traction and is becoming almost ubiquitous across a range of industries and applications. But how does it work, what are the benefits, and what do businesses need to look at when implementing the technology?

Watch this Q&A with Onfido’s biometrics expert, Susana Lopes, to learn:
The new trends and tech that are seeing biometrics replace traditional identifiers
Why a single biometric isn’t a silver bullet, and why multi-factor doesn’t always mean more secure
The difference between behavioural and biological biometrics, and which will work best for your users
What should be on your checklist when implementing biometric solutions.

The way we verify our identities is changing. With traditional enterprises evolving and taking their operations fully digital, and newer all-digital businesses are growing exponentially, it makes sense that identity verification and KYC move online too. But in a remote setting, it’s hard for businesses to scale up their user onboarding without also increasing risk. Now, many are turning to AI-based solutions to meet that need.

From hybrid to augmented, machine learning to deep learning, there are lots of new approaches to identity verification out there. But how can businesses tell the difference between buzzword and true black box, and what are the benefits of each?

In this discussion, we’ll decode the various different applications of AI to the identity verification problem. We’ll also discuss how to use these new technologies to increase efficiencies at scale and provide exceptional customer experiences.

Join this expert panel webinar to hear a dynamic panel discussion on:
-The challenges of traditional methods of identity verification, and why enterprises are turning to AI
-The different ways AI can be applied for more efficient identity verification
-The benefits of a hybrid human-AI approach
-A new identity reality: How will we be able to use our identities in future

Cybercrime is rising rapidly, takes more time to resolve and costs the financial services industry US$18 billion annually. The average cost of cybercrime for financial institutions increased US$1.4 million to US$13.0 million in the past year, according to a recent Accenture report.

The financial toll is set to escalate even further, with Germany’s stringent new regulation looming large on the horizon, which imposes GDPR-like fines for non-compliance.

Join this 10-minute chat with leading cybersecurity lawyer Dr Alexander Duisberg and regulatory technology expert David Noble, who will answer these burning questions:

- How are financial services institutions coping with the growing number and complexity of global cybersecurity regulations?

- Are banks ready for the new German cybersecurity legislation, and is it likely to have broader impact across Europe – or indeed the rest of the world?

- What should you be doing to monitor regulatory change more effectively and assess its impact on your business?

For more information on automating regulatory change, visit www.cube.global/solution

In this webinar, Fenergo and Accenture join forces to present a target operating model for how commercial and business banks can design their digital client journeys from end-to-end to deliver a better client experience throughout initial client onboarding and throughout the entire client lifecycle.

In this webinar, you'll learn:

The top trends in digital transformation and client experience
Expected regulatory changes in 2019/2020 impacting Client Lifecycle Management
Target Operating Model: How to design and implement a frictionless, straight through client journey from initial onboarding to ongoing lifecycle management, including the key digital technologies that will make this happen e.g. eSignatures, digital ID&V, biometrics etc.

[Live Recording] Join us for an overview of the SEC's Whistleblower Program. Learn about how the program is set up, the extent of damages awarded to date, and the resulting benefits the program has produced for our society at large.

Please note: CPE credit not available for this playback

[Live Recording] Metamorphosis describes the process of transformation from a child form to a mature form in two or more distinct stages. Within your organization, some of the key finance processes have worked the same way for decades, and could probably benefit from a transformation of sorts. Join us in this webinar where we explore common technologies that can be easy incorporated into your current processes to modernize the traditional workplace. We'll cover everything from time and expense reporting, to accounts payable, to budgeting as well as financial close automation.

Please note: CPE credit not available for this playback

Why do we think about AML as a single idea, when fraud is segmented specifically by customer, channel or loss type? In this insightful session, Jim Richards and Brendan Brothers discuss the limitations of the current one-size-fits-all approach to compliance and anti-money laundering. Learn why segmentation is effective at fighting fraud, and how these lessons can be applied to transform the AML industry.

Learning Objectives
- Review of the limitations of current AML approaches and technologies to -effectively fight financial crime
- Understand how segmentation improves fraud detection and how these lessons can be applied to strengthen anti-money laundering efforts
- Learn how innovative technologies and customer segmentation will transform the AML industry

The answer to the question is clearly “No” and even though we hear the term omnichannel a lot in retailing, the reality is that very few retailers have been able to advance their omnichannel strategy as quickly as they would like.
Most of the growth retail is coming from digital, so a retailer that cannot optimize digital commerce as a growth channel has a bleak future. Similarly, if you have yet to consolidate your channel silos, you cannot offer a joined-up customer experience that is essential for improving customer satisfaction and keeping shoppers visiting your stores.. This webinar will look at these two components of your omnichannel strategy and explain how Openbravo Commerce Cloud can help you overcome the obstacles in the path to successful omnichannel retailing.

[Live Recording] It's time to spruce up the close checklist! Join us in this webinar where we will revisit best practices as well as practical tips to help improve the financial close process. Whether you have a close checklist, a close calendar, or even if you are still forming a close process, these practices will surely help your period-end close.

Please note: CPE credit not available for this playback

Financial service companies will need to lead the charge in flexible and remote working if they are to attract the best possible talent. Something that has never been more important against a backdrop of Brexit and a growing millennial and Gen Z workforce.

Today, only one in six (15%) employees work in businesses that don’t offer flexible working. What used to be a perk is now a mandatory offering.
Alongside the importance of employee satisfaction, the UK is also facing a productivity challenge, on average the UK is 31% less productive than France.

Join Mark Elwood, Director at TeleWare, Dr Lucy Green, CEO & Business Development Expert at Larato and David Mellard, Director and Founder at Bedrock HR, as they discuss:
•The flexible working challenges financial services companies face – including security and data protection
•Can financial services companies safely implement a bring your own device (BYOD) policy?
•How to use tech to increase productivity
•Scalable IT solutions for growing companies

[Live Recording] Join us in this webinar, where we arm ourselves with knowledge that can help our organization deter and detect organizational fraud. Learn the most common fraud practices, the best fraud detection and prevention activities, as well as recent SEC fraud cases.

Please note: CPE credit not available for this playback