Managing the Changing Compliance Landscape in BFSI

Managing the Changing Compliance Landscape in BFSI:
Date: November 16 ,2017
Time: 1:00pm ET 

Webinar Outline:

As regulations across geographies evolve, organizations are continuously struggling to understand and revamp their compliance initiatives. Complexity drives up the cost and enforcements continue to increase the criticality. Banks and financial institutions have moved their outlook from “tick the box process” to a more streamlined compliance management framework to adhere to the regulatory complexity as well as align their programs towards business objectives. Join this webinar to understand the evolving state of regulatory affairs impacting banking and financial institutions.

In this session, our experts will also discuss:

  • Understanding the common themes in evolution of the compliance landscape – Geo political, Policy Changes.
  • Implications due to possible repeal or changes in existing regulation.
  • A Federated approach to compliance management to mitigate risk and preserve the brand.
  • Role of technology in building an effective compliance framework.

Speaker Details:

Renée Oxley
CPA, CA

Renée Oxley is the Managing Director, ERM & Compliance at ATB Financial. She is responsible to oversee ATB Financial’s Regulatory, Privacy, and Anti Money Laundering Compliance programs. Her team provides independent oversight and guidance for managing regulatory risk and ensuring compliance – including the development and implementation of compliance risk management measures across the company. During her tenure at ATB Financial she was also Director, Internal Controls over Financial Reporting leading ATB Financial’s C-SOX program.
Before joining ATB Financial, Renée worked with Assurance Services at PwC as well as Internal Audit and Financial Reporting & Controls oversight in the Energy, Power & Utilities industry. She is a Chartered Accountant and holds a Bachelor of Commerce degree from the University of Alberta. Renée is also proud to serve as Chair of the Board for the YWCA Edmonton.

New Developments in AML and Training Requirements

New Developments in AML and Training Requirements
Date: Wednesday, September 13, 2017
Time: 1:00pm ET / 12:00pm CT / 11:00am MT / 10:00am PT / 9:00am AT

Webinar Description:
With numerous high profile incidents reported on a regular basis, it is little wonder that FINRA, FinCEN and the SEC continue to focus on AML, cybersecurity and the relationship between the two. For the last three years, FINRA has listed AML and cybersecurity in its annual priorities letter and FinCEN released an advisory on cyber-enabled crime late last year. With their relationship to terrorism and national security, these topics remain near the top of the list.
Join Matt Wadley, General Manager USA for GRC Solutions and Ernie Badway, Partner with Fox Rothschild as they discuss recent developments in AML, cybersecurity and specifically how your company can optimize training in this area.
The webinar will highlight recent developments related to AML and what they mean with respect to compliance obligations and training. The attendees will learn about:

  • Proposed rules requiring registered investment advisers to establish AML programs;
  • The need to tailor AML training to your specific needs, based on your company’s size and activities; and
  • The increasing focus on cybersecurity and how it relates to AML.

NSCP Archived Webinars

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  • Managing Regulatory Relationships – Playing by the Regulator’s Rulebook
  • SEC Rule 17-h Risk Assessment and Recordkeeping Requirement
  • CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
  • Leave It to the States: Compliance and Registration Priorities for BDs/IAs
  • Ethical Decision Making – Recognizing Issues
  • MiFID II – US Asset Managers Brace for Impact
  • Discussion of Results: NSCP / ACA Aponix Cyber Survey
  • The New Normal: Business Continuity, Disaster Recovery & Cybersecurity
  • Why the Financial Services Industry Can’t Ignore Text Messaging

Login to view our archived webinars for 2016

  • Trade Compliance Through the Lifecycle of a Trade
  • Last Chance: Impact of ERISA Fiduciary Regulation
  • MCDC Disclosure Obligations
  • Simplifying Regulatory Change Management by Leveraging Integrated Content and Technology
  • FinCEN’s Proposed AML Rule: Implications for Investment Advisers to Private Funds
  • Final Look at DOL Fiduciary Proposal – A Game Changer
  • Blind Spots in Operational Risk Webinar
  • Who Is the New Twenty-first-Century CCO? Current Issues in CCO Liability
  • Onboarding & Compliance: What Investment Companies Should Know Before Making a Hiring Decision Liability
  • Creating and Executing Effective, Customized Branch Examinations
  • The DOL Rule: What You Need to Know Now
  • Cybersecurity – Vendor Due Diligence
  • 5 Things Every Compliance Officer Should Know About Trade-Based Money Laundering Risks
  • CyberSecurity Risk Management Process – Evaluating Risks and Strengthening Governance

Login to view our archived webinars for 2015

  • Compliance Technology – Beyond the Hype – How to Reduce Risk & Gain Efficiency
  • CyberSecurity Risk Assessment for Investment Professionals
  • DOL Proposal on ERISA Fiduciary Status for Investment Advisers
  • How to Successfully Navigate State Investment Adviser Regulations
  • SEC Examination Priorities for Private Equity Firms – Fees and Expenses, Parts 1 and 2
  • Managing Investment Compliance: Best Practices in an Evolving Environment