Financial Regulation

Can FinTech and AI solve the ESG data puzzle?
What’s the best route to reduce costs, increase flows and further improve the quality of ESG data from corporate reporter to end-user?

The 2016 Carrots & Sticks report identifies almost 400 sustainability regulations, guidelines, codes-of-conduct, frameworks and other reporting instruments across 64 countries. How accurate is this data? How are corporations coping with the pressure and cost of reporting? How can asset managers make sense of what it means? And will data vendors turn to AI to collect and deliver this googolesque volume of data?

During this 60-minute webinar we will discuss:
• Global trends in sustainability reporting and regulations: What have been the major trends in the last decade and how harmonized have they been? How can auditors help in the quest for more accurate ESG data?
• How are corporations coping with the growing pressure from regulators to disclose more ESG data? What tools do they use? What can be done to reduce the costs, improve the quality? Can entry be made more accessible for SMEs?
• As asset owners place more demands on asset managers to integrate ESG in their investment process, how are custodians meeting this challenge and what are the key pressure points?
• ESG research and data vendors are under increasing pressure to provide more coverage and higher quality ESG data and ratings to investors. This creates cost and logistical challenges in an industry where most of this work is still carried out by specialized analysts. Is AI the answer?

Speakers:
- Cornis T. van der Lugt, Centre for Corporate Governance, Stellenbosch University Business School, South Africa
- Hendrik Bartel, TruValue Labs Inc.
- Trevor Allen, BNP Paribas Securities Services
- André Chanavat, Senior Product Manager, Thomson Reuters
Moderated by: Daniel Brooksbank, Responsible Investor

In the wake the new US financial regulation such as the "Dodd-Frank" Wall Street Reform and Consumer Protection Act, many banks in the US, Europe and Asia have been looking at how best to monitor and control the activities of their traders and contact centers.

The cost of compliance can considerable, however, the risks associated with non-compliance can result in even more substantial costs to the business.

Hear emerging trends in compliance for contact centres and traders.

Digital Transformation in Wealth & Asset Management

UnaVista have launched their MiFIR ARM Service, which is now available for clients to test in. In this webinar UnaVista will be providing a demo of the platform as well as an update on the latest MiFIR RTS.

UnaVista and DTCC have formed a partnership, whereby DTCC clients who use their Trade Repository will be able to use their connection to send in MiFIR data and report via UnaVista's ARM. In this webinar DTCC will provide a demo on how this functionality will work for clients.

Why is Business Continuity Management (BCM) relevant to your organization? BCM is most relevant to organizations seeking to mitigate exposure to emerging global risk and trends. Learn the "value added" role of Internal Audit.

After attending this webinar, you will be able to:
•Understand the importance of Business Continuity Management to your organization
•Discover the emerging global risks and trends that could impact the viability of your organization
•Learn the "value added" role of Internal Audit as it relates to Business Continuity Management

The subject of auditing Corporate Culture is gaining a higher level of visibility among board and audit committee members in response to increased concern among regulators and investors. There is a clear "Expectation Gap" that exists between management, boards and third parties as it relates to management ownership of internal controls.

The topic goes well beyond the assessment of entity level controls and the discussion of Tone at the Top associated with review of regulatory compliance, ICFR and COSO 2013. The presenter will share his perspectives gained over a 30 year career on the topic of educating management as to its responsibilities regarding promoting an effective system of internal controls.

This webinar features Alec Arons, National Practice Leader, Risk Advisory Services. He will:
- Provide background and perspective on the underlying regulations and expectations
- Discuss lessons learned from the implementation of COSO 2013 and the 2015 PCAOB inspection process relating to the expectation gap
- Introduce the topic of soft controls and define indicators of good culture
- Introduce tools to perform an assessment of corporate culture
- Share practical recommendations to address performing an audit
- Review the role of the Audit Committee in evaluating corporate culture

Regulators acknowledge the risks associated with vendor relationships and have demanded that business leaders monitor and take responsibility for the actions of their vendors through various laws and standards such as the Sarbanes-Oxley Act, the Gramm-Leach-Bliley Act, the FCPA, the Health Insurance Portability and Accountability Act, as well as the Payment Card Industry Data Security Standard (PCI DSS) requirements and CFPB guidance.

Consequently, vendor management is currently at the forefront of organizational risk management priorities and Internal Audit needs to address vendor management and third party risk in their audit planning and execution.

In this presentation, you will:
- Gain an understanding of the potential risks that may arise from the use of third party service providers
- Identify the basic elements of an effective third party risk management program