Beyond COVID-19: The 'Next Normal' for Financial Services Regulation

Presented by

Donald McElligott, VP Compliance, Global Relay, and guest speakers from Optima Partners and AMP Capital Investors

About this talk

What is ‘normal’ in our daily lives is ever-changing. And the term ‘new normal’ has become a universal household phenomenon in recent months, as the world comes to terms with the COVID-19 pandemic, and its implications. In financial services, ‘next normal’ is perhaps a more relevant phrase. Post-2008, we saw a period of financial services regulatory transformation, designed to avoid a recurrence of the financial markets collapse and protect the interests of financial services clients. Although challenging, we had settled into a decade of regulatory normality. Little did we know that would change so soon. The ‘next normal’ for financial services regulation will be the world we live in as we adapt to an era of remote working and mobility. Moderator: Donald McElligott, VP Compliance, Global Relay Speakers: Joshua Mika, Partner, Optima Partners and Joe Sommer, Chief Compliance Officer, AMP Capital Investors Join this webinar to learn: • How regulators have responded so far, and how this is likely to evolve as we transition into the next normal • What financial services firms have been doing to ensure continuity of compliance • How regulators are responding to a permanent increase in remote and mobile working • How flexible firms can be in supporting fully-remote working options • Whether the industry is in a position to support 100% offsite remote exams • What cybersecurity safeguards must firms embrace to support secure and compliant remote-working

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Global Relay (www.globalrelay.com) is a leading provider of compliant electronic communications archiving, messaging, supervision, information governance, and eDiscovery. Our 20,000+ customers in 90 countries include highly regulated organizations and other corporate firms, including financial services, insurance, technology, energy (oil and gas), legal, government and healthcare. Global Relay Archive preserves more than 60 data types within a unified, highly-secure and scalable cloud repository. Data types include: email, collaboration platforms (e.g. Microsoft Teams, Slack, Zoom), Instant Messaging, Bloomberg®, Refinitiv, social media, text messaging, voice, and trade data. Global Relay Message enables organizations to collaborate both internally and externally, confident that compliance, privacy, and security requirements are being met. Contact us at connect@globalrelay.net