Learning Objectives
Host: Irena Gecas-McCarthy, principal, Deloitte & Touche LLP
Presenters: Ryan Moore, partner, Deloitte & Touche LLP
Richard Rosenthal, principal, Deloitte & Touche LLP
David Sherwood, managing director, Deloitte & Touche LLP
Josh Uhl, managing director, Deloitte & Touche LLP
1.0 Overview CPE credit | Specialized Knowledge
Navigating an ambitious 2023 regulatory agenda? Join our conversation as we cover how business, consumer, and technology developments have impacted the financial services industry in the United States; regulations governing its key activities; and what steps organizations can take in response. We’ll discuss:
- Sector-specific regulatory outlooks, including banking, capital markets, investment management, and insurance
- Proposed and final legislation and regulations affecting US financial services organizations
- The impact of legislation and regulation on the performance of functions of financial services organizations (e.g., governance, compliance, and technology)
Meet the speakers
Irena Gecas-McCarthy
Irena is a principal in Deloitte & Touche LLP’s US Banking and Securities Regulatory practice with experience in providing clients assistance with regulatory, governance, compliance, risk management, and operational controls issues. She leads many of Deloitte’s large-scale, multiyear implementation, transformation, and remediation projects in the areas of governance, risk management, compliance, and bank operating models. Irena also serves as the leader of the US Financial Services Industry Center for Regulatory Strategy, administering Deloitte’s eminence, points of view, and tracking of regulatory developments. Prior to Deloitte, she worked as a commissioned senior examiner and relationship manager for the Federal Reserve Bank of New York.
Ryan Moore
As an Audit & Assurance partner, Ryan primarily serves clients in the investment management sector and has over 19 years of experience serving clients and performing high quality audits. His current clients include RICs, Hedge/Alternative Funds, and Business Development Companies (BDCs). Ryan spent two-years in Deloitte’s National Office, where he consulted with audit teams on technical audit and accounting issues primarily focused in the investment management space. Prior to re-joining Deloitte, Ryan was an Assistant Chief Accountant within the Division of Investment Management at the SEC, where Ryan assisted in directing the financial reporting and accounting practices of investment companies in compliance with the federal securities laws. He worked closely with the staff in various offices of the Division, including compliance, rulemaking and disclosure, as well as with investors, registrants and their auditors and counsel.
Richard Rosenthal
Richard is a principal in Deloitte’s Risk & Financial Advisory practice. He leads complex and transformative projects, assisting banking and fintech clients in setting up new entities, enabling M&A activity, aligning to regulatory requirements, launching new products, and helping address a broad range of regulatory and risk areas to enter and meet expectations of the US banking system. Richard leads Deloitte’s Business and Entity Transformation integrated services, Banking for the Deloitte Center for Regulatory Strategy and Deloitte’s Digital Assets Banking Regulatory practice.
Joshua E. Uhl
Joshua is a managing director in Deloitte’s financial services practice with more than 15 years of experience and specializes in advising broker-dealers and registered investment advisors on regulatory and business operations topics. Including sales practices, advisory services, supervision, trading, technology and operational organizational structures.
Resources
