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Navigating what’s next
As country- and jurisdictional-specific compliance requirements proliferate, financial services leaders are evaluating how their compliance functions should be resourced. What is the most effective balance between potential risks and costs, and how can compliance functions focus more on generating strategic insights instead of blocking and tackling? Participants will explore ways to streamline risk and compliance activities so they create more value-generating insights.
The Consolidated Audit Trail (CAT) represents a shift in how regulators will oversee the securities markets and trading activities. It will also greatly expand the scope of transaction reporting required by US broker-dealers. How can timely planning help broker-dealers seize broader strategic opportunities presented by CAT? Participants will learn about potential impacts, opportunities, and considerations for creating, implementing, and maintaining a CAT program.
With the financial transition targeted for 2021 drawing near, financial services organizations are moving quickly to prepare themselves for a post-LIBOR world. Moreover, regulators are increasing their scrutiny of organizations’ preparations and focus areas. Participants will gain new insights on the approaching transition away from LIBOR, how regulators are preparing, and some of the lessons learned as organizations make their own preparations.
Do you know what issues the standard-setters and regulators have been addressing lately? We’ve been monitoring their projects and participants will gain a new understanding of these and other important accounting issues and developments for the quarter.