Dbriefs
2 Feb.

2023 financial services regulatory outlook

Thursday, 11:00 a.m.  ET | 1 hr
Event language: English

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. Participants will be able to recommend applicable insights and initiatives and manage the heavy volume of change, including new technology solutions, controls, reporting, and processes.

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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 Gecas-McCarthy

FSI Director, Center for Regulatory Strategy, US Principal | Deloitte & Touche LLP

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

Ryan Moore

Partner, Audit & Assurance | Deloitte & Touche LLP

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 Rosenthal

Principal | Deloitte & Touche LLP

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.

David Sherwood

David Sherwood

Managing Director | Deloitte & Touche LLP

David Sherwood is a managing director at Deloitte & Touche LLP, specializing in risk management, regulation, and compliance. He has broad financial services regulatory experience in both the United States and the United Kingdom. After heading up industry compliance and risk roles, he now helps clients navigate regulatory and organizational change domestically and internationally. He is a regular public speaker on US and international regulation, including climate risk.

Joshua E. Uhl

Joshua E. Uhl

Managing Director | Deloitte & Touche LLP

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

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Thursday, 2 Feb 2023 11:00 a.m. ET