Recorded Webinar: Regulatory change management – challenges, solutions and case studies7 December 2021
Regulatory change has become part of the fabric of capital markets. It has also become increasingly complex as more regulations are introduced, significant amendments are made frequently, and small changes are made on a rolling basis – the whole made more difficult by jurisdictional interpretation and the UK’s amended regulatory regime post Brexit.
If keeping up with regulatory change is a challenge, efficient and effective implementation can be more taxing bearing in mind that not only must regulatory changes be made, but also changes to associated controls, risk management, and policies.
The stakes are high as regulators increase scrutiny of compliance and issuance of penalties for non-compliance. In response, firms are turning to regulatory intelligence, automation, third-party data services, machine learning and artificial intelligence to create compliant yet flexible regulatory change management solutions.
Register for the webinar to find out about:
- The expected pace of regulatory change going forward
- How to keep on top of regulatory change on a global basis
- Best practice approaches to holistic change management
- Helpful technologies, tools, data services and solutions
- Examples of successful deployments that go beyond compliance
More about our speakers:
Rabya is a leading regulation and compliance specialist called upon by financial services firms across Europe to advise on the impact of various regulatory requirements and deliver complex pieces of work. As a Principal at a big 4 firm, Rabya led teams and worked closely with clients across Europe, including investment banks, exchanges, brokerages and commodities trading firms. Roles sitting within regulatory bodies, such as the FCA, and heading up teams within industry have provided a multi-faceted career.
Extensive experience of compliance risk assessments, compliance controls reviews, controls design and regulatory advice on implementation of RegTech solutions. Examples of high profile work include section 166 investigations, advising on the launch of new trading products and compliance arrangements around mergers which have hit the headlines. A significant body of work helping firms to prepare for regulatory investigations, e.g. following conduct risk issues such as market abuse scandals.
Member of industry committees helping to lobby and shape the future of our industry, for example, mitigating the risk of regulatory divergence post BREXIT. Frequently called upon to deliver technical advice and seminars by firms and regulatory bodies, e.g. called upon, by the ICAEW, to provide technical training seminars to professionals across our industry.
Regulatory Product Manager
Colin is the Regulatory Product Manager for Asset Servicing at BNY Mellon. He is responsible for ensuring that all products within Asset Servicing are compliant with upcoming regulations and serve our client’s needs to meet the regulatory requirements, including MIFID II, GDPR, MMFR.
He represents the company on a number of RegTech Award panels and industry Event Advisory Boards, and helps to co-ordinate the BNY Mellon Tax & Regulatory Client Forum. This industry-leading event includes a number of RegTech panels and the creation of a regular BNY Mellon RegTech Forum.
Prior to joining BNY Mellon, Colin spent 4 years working at Barclays as Industry & Regulatory Engagement Lead for Data Management, working with RegTech and vendor solution providers to assess solutions to meet the upcoming Regulatory challenges. Previously, he was Global Product Manager for Omgeo CTM responsible for developing the product to meet all client and regulatory requirements. He has also spent time at a number of leading Investment Bank institutions, including Deutsche Bank, Nomura, and Goldman Sachs, across a broad range of Data Management, Client Service and project management roles.
Senior Director Product Marketing
Jamie Walsh serves as Senior Director of Product Marketing at SAI360 with over 15 years of experience in Governance, Risk, and Compliance (GRC). His expertise includes Risk Management, Business Continuity, and Regulatory Compliance. He holds an MBA from the University of Pittsburgh where he focused on Marketing, Strategy, and Information Systems Management.
EVP Reference Data Utility
SmartStream Technologies, Inc
Linda Coffman is Executive Vice President, responsible for overseeing The SmartStream Reference Data Utility. She joined the reference data product management team in 2015 and was responsible for key initiatives across the listed derivative and regulatory services. With over 25 years of experience in the reference data industry, Linda has been a member of the reference data team at Morgan Stanley where she was instrumental in the creation of a fixed income security master and the onboarding of vendor data. Earlier in her career, she worked for an industry joint venture, responsible for managing a data operations and development team covering fixed income and securitised products.
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