Identify regulatory trends & patterns in the banking industry to enhance your compliance framework and prevent & mitigate potential risks.
Course Description
In today’s ever-evolving financial regulatory landscape, staying ahead of regulatory changes and enforcement actions is very critical to the success and sustainability of any financial institution.
By analyzing recent cases related to enforcement, financial institutions can identify regulatory trends and patterns to enhance their compliance framework and prevent and mitigate potential risks.
Listen to Justin, an ex-FINRA Regulator, as he provides an overview of the different banking regulators and discusses their recent enforcement actions. The goal of this session is to learn from prior enforcement actions, implement changes within your compliance framework to avoid such actions, and continue with your risk mitigation efforts. Additionally, you have the requisite knowledge to better manage your reputational risk when similar issues arise at your institution.
Areas Covered
- Overview of the current regulatory environment
- Enforcement actions over the past year
- Case studies
- Lessons learned from enforcement actions
- What to do with your compliance program after learning the facts
- Takeaways
- Q&A
Why should you attend?
By analyzing recent cases related to enforcement, financial institutions can identify regulatory trends and patterns to enhance their compliance framework and prevent and mitigate potential risks.
Who will benefit
- Senior Management
- Compliance Professionals
- Audit Professionals
- Bank Operations
- Risk Management
- Treasury
About the Instructor
Justin, an ex-FINRA Regulator, brings over 20 years of wide-arranging experience in compliance, training, and regulations. He has previously worked in the Head of Compliance Training function for Macquarie Group, UBS, JPMorgan Chase, Bank of China, and GRC Solutions. Additionally, Justin also runs his own Compliance Training company focusing on US & International regulations.
Justin also worked for FINRA, a US regulator, where he created Examiner University to train examiners on how to perform their function. He also serves as an advisor for the Global Compliance Institute (GCI) and instructs at the Barret School of Business and various compliance training providers.
Refund policy:
Attendees may cancel up to two working days prior to the course start date and the refund will be processed within two working days.
We will process/provide a refund if the webinar is canceled. Refunds will not be given to participants who do not show up for the webinar. On-demand Recordings can be requested in exchange. Webinar may be canceled due to lack of enrollment or unavoidable factors. Attendees will be notified 24 hours in advance if a cancellation occurs. Substitutions can happen at any time.
If you have any concerns about the content of the webinar and are not satisfied please contact us at care@thecomplyguide.com
Alternatively you can register here!
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