In today’s evolving regulatory landscape, Financial institutions are increasingly required to capture a growing number of channels and users, and to ensure compliance when using the latest collaboration technologies. As regulators across geographies require financial firms to take reasonable steps to monitor interactions in real time and prevent compliance issues even before they occur, Firms need to turn to the next generation of compliance recording and assurance. Featuring recording experts from KPMG and NICE, in this webinar learn best practices around how firms are:
Managing the latest in regulatory compliance demands for recording, including the implications for the new Regulation Best Interest
Ensuring a rock solid recording program
Integrating the latest technology and automation in Compliance Assurance
Lowering the TCO of Recording Estates
Managing Director – Regulatory Risk Practice KPMG LLP
Leveraging over 18 years’ experience in Capital Markets Legal, Compliance and Regulatory roles for exchanges, broker dealers, and swap dealers to provide advisory services in all asset classes to clients focusing on Trading Controls, Trade Reporting and Surveillance including Dodd-Frank Volcker and Swap Dealer regulations. In his current role, Bill is providing advisory services focusing on Electronic Trading Controls, Trade Reporting and Surveillance for the Banking and Capital Markets sectors.
Product Manager NICE
Anton is an experienced product manager/strategist, working in the financial services industry for more than 10 years. As product manager at NICE he is responsible for the Financial Markets Compliance solutions, such as Compliance Recording and Compliance Assurance.