Regulatory Compliance

Welcome & Opening Remarks For EITL Forum 2022

Compliance is no longer in the back seat when organizations discuss standard operating models and information security mapping; it is an equal part of the conversation and an important force behind company actions. John Caruthers, Executive VP, Chief Information Security Officer for Triden Group, and former FBI Special Agent and Cybersecurity expert, will open the 2022 EITL Forum with a keynote on what motivates compliance and the role governance plays for firms in financial services and other industries. Drawing from his 27+ years of experience with the FBI and as a security executive advisor in the private sector, John will highlight the key driving forces behind companies’ impetus for compliance and how it motivates decision making.

This session will take a global look at the regulatory landscape and the state of regtech from various regions, including the USA, UK and Europe. Covering topics such as post-pandemic shifts and Russian sanctions to how regulators are solving for challenges in today’s world, this panel will discuss the current environment and the burden of regulations in each global region.

Want to see where we are going? In this session, we’ll share a sneak peek into web, API, and content-related updates coming soon and also provide insights into our longer-term plans. This session is for current Compliance.ai Customers only.

This session will discuss insights and perspectives surrounding privacy issues and regulations in the current landscape, addressing what is privacy and why it is important in the FinTech industry. Our speakers Kayvan Alikhani and Doreen Ghusar will explore common privacy-related compliance challenges and best practices for how businesses are building and managing their compliance processes in response to the growing restrictions and regulations.

Having the right workflow can simplify your work life. Come see how the Compliance.ai product and client services teams have helped clients implement their own workflows and have taken them to the next level within the Compliance.ai platform.

During this panel discussion, our expert speakers will take a multi-industry view at what is driving ESG and why this topic is of central importance now. The panelists will take a deep dive into key ESG considerations, organizational impact and challenges from a US, European and board room perspective, and cover how firms and boards are addressing these challenges and shifting their focus on social responsibility, human capital and sustainability.

Learn how the Compliance.ai client services and products teams have helped customers configure a complete End-to-End Regulatory Change Management Solution. In this session, see how customers add on to their Compliance.ai platform implementation using our pre-built APIs and Service Connectors, as well as integrations with GRCs to streamline activities.

Compliance.ai is a comprehensive RegTech platform including web, API and content. Whether you’re a new client or a seasoned user, we’re here to introduce you to features you may not yet be familiar with and help you leverage all of our product functionality to its full potential.

The concept of operational resilience is not new to banks and financial institutions. They have been managing some aspects of it—albeit in silos. However, since the COVID-19 outbreak, there is an increased focus on operational and business resilience. So, what is causing regulators across the globe to shift their focus on operational resilience? What do these frameworks and policies mandate or guide organizations to do? Join the session to hear our experts answer these questions and more.

Artificial Intelligence (AI) is a tool that can be used both to manage risks in financial services as well as poses some risks by itself. This expert panel will discuss AI yesterday versus AI today, focusing on how AI has evolved and developed from simple automation to complex decisioning. Our experts will cover AI regulatory trends globally and in the US, best practices in risk and compliance management, and complementing technologies that can be utilized to counter new and emerging AI risks.

The Compliance.ai platform leverages a crowdsourced, expert-in-the-loop methodology to automatically track, classify, summarize and prioritize financial regulatory content across jurisdictions and topic areas.
As a Contributor, you put the “expert” in “expert-in-the-loop.” During this session, learn what our contributor network is, how to join, what activities you’ll engage in, and why it’s a great opportunity for experts in the BFSI industry. Plus, see an example of how Compliance.ai uses its content engine to ingest regulatory documents.
If you have a laptop and internet access, you can become a contributor – all levels of expertise are welcome!

Visit the lounge to join the Advisor roundtable topic that most interests you and participate in the discussion.

Visit the lounge to join the Advisor roundtable topic that most interests you and participate in the discussion.

In order to attract customers, banks of all sizes have been ramping up investment into new technologies. Bank innovation and product leaders, however, often find that a key limiting factor in their delivery of new digital financial services isn’t recruiting talent, or the time taken to write and test new code. Instead, it can be the time spent seeking approval from their internal regulatory and compliance approvals. Rapid innovation requires agile compliance. Join us to hear the firsthand experience of two leading bank product innovators.

The regulatory system has changed a lot in a year, and a decade from now, compliance and financial regulation will look vastly different. The technology transformation of the industry is continuing to accelate, which affects the regulators’ response and need for better tools, and in turn influences financial institutions and their new compliance expectations. Compliance innovation expert, Jo Ann Barefoot, CEO & Co-Founder, Alliance for Innovative Regulation, will explore the latest on how compliance technology continues to evolve in this digital age and the role it will play in banking and regulatory supervision. In this fireside chat, Jo Ann will discuss what the regulatory landscape looks like going forward and share what she sees as essential skills for the compliance officer of the future.

At Compliance.ai, we love client feedback. We’re introducing the Customer Advisory Council to give you a forum to share insights with Compliance.ai and help shape our future direction. In this session, we’ll discuss expectations for the council, provide information on how you can participate, and review exciting updates for the Training Center and Customer Portal. This session is for current Compliance.ai Customers only.

The world continues to change, and each year brings new risks, rules and regulations for BFSI organizations to consider. This panel will discuss best practices for staying competitive in a time of uncertainty and growth, addressing how firms can proactively navigate and manage regulatory changes in the areas of privacy, ESG, third party vendor management, and more. Our expert advisors will cover trends, case studies and how you can prepare to manage regulations as we head into 2023.

Regulatory intelligence doesn’t live in a vacuum. To bridge the gap between regulatory change and policies, Compliance.ai is introducing Bring Your Own Content, a new product that allows you to see and understand your own content, including policies, legal guidance, remediation plans and audit findings in context with the regulatory changes you already access within Compliance.ai. Learn how you can start using Compliance.ai’s Bring Your Own Content to round out your regulatory change workflow.

The rapidly-evolving state of regulations and cryptocurrency – why is this important and what does this mean for your organization? In this session, our expert panel will discuss perspectives on the economic, market and political environment surrounding cryptocurrency and share their views on government regulations, managing crypto risks, and a comparison of US vs. global regions in regards to crypto adoption and framework.

Organizations achieve their objectives by taking risks. Archer is a leader in the risk management space, helping companies look at the relationship of strategies, objectives, products, policies, and regulatory obligations. Compliance.ai’s mission is to transform how regulated organizations specifically within the BFSI industries address compliance and regulatory risk. In this session, learn how Compliance.ai and Archer bridge the gap to enable best of breed RCM with GRC by connecting regulatory changes to risk controls, policies and procedures.

Cyber risks in the insurance sector are particularly dynamic, and it’s essential for organizations to stay in tune with the latest developments and thinking. In this panel session, our expert speakers will discuss the growing challenges and lay the landscape of cyber insurance, potential limits, and trends. The conversation will cover new and evolving risks of cybersecurity, data availability, and differences between US vs. Europe.

The process of benchmarking is necessary to compare your organization’s compliance program elements, structure and processes to the external practices of your peers and the industry. In this discussion, our expert speakers will review the benefits of benchmarking, how to accomplish it, and what it means to run a successful RCM program.

Although many organizations have tried (often diligently) to embed ERM as part of the corporate DNA, the results have largely been disappointing. Few organizations have made the journey from Reactive to Proactive Risk Management. This session offers insights and examples into what has prevented a company’s successful transition. ERM maturity follows three distinct stages: Hindsight Culture, Insight Culture, and Foresight Culture. Each requires its own set of tools/maturities, and each stage must be achieved before organizations can mature and advance forward. Using our experience, we lay out the milestones of the process phase, what is required to transition to each next phase, and specific challenges to avoid.

Our panel of expert advisors will cover the topic of Regulatory Change Management and how this differs by jurisdiction. They will review this topic across several geographic regions, including Europe, Canada and the USA, and cover reporting requirements to both internal constituents (management, committees and audit) and external regulators, answering the question of why is this important to me and my organization.

An open discussion with our Compliance.ai and advisor experts on some of the hot topics covered during the 2022 EITL Forum. Join the breakout group that most interests you for more in-depth Q&A and to participate in the discussion.
1. Regulatory Change Management
2. Compliance.ai Workflows
3. Integrations

An open discussion with our Compliance.ai and advisor experts on some of the hot topics covered during the 2022 EITL Forum. Join the breakout group that most interests you for more in-depth Q&A and to participate in the discussion.
1. Regulatory Change Management
2. Compliance.ai Workflows
3. Integrations

This session will take a global look at the regulatory landscape and the state of regtech from various regions, including the USA, UK and Europe. Covering topics such as post-pandemic shifts and Russian sanctions to how regulators are solving for challenges in today’s world, this panel will discuss the current environment and the burden of regulations in each global region.

This session will discuss insights and perspectives surrounding privacy issues and regulations in the current landscape, addressing what is privacy and why it is important in the FinTech industry. Our speakers Kayvan Alikhani and Doreen Ghusar will explore common privacy-related compliance challenges and best practices for how businesses are building and managing their compliance processes in response to the growing restrictions and regulations.

Artificial Intelligence (AI) is a tool that can be used both to manage risks in financial services as well as poses some risks by itself. This expert panel will discuss AI yesterday versus AI today, focusing on how AI has evolved and developed from simple automation to complex decisioning. Our experts will cover AI regulatory trends globally and in the US, best practices in risk and compliance management, and complementing technologies that can be utilized to counter new and emerging AI risks.

Organizations achieve their objectives by taking risks. Archer is a leader in the risk management space, helping companies look at the relationship of strategies, objectives, products, policies, and regulatory obligations. Compliance.ai’s mission is to transform how regulated organizations specifically within the BFSI industries address compliance and regulatory risk. In this session, learn how Compliance.ai and Archer bridge the gap to enable best of breed RCM with GRC by connecting regulatory changes to risk controls, policies and procedures.

Cyber risks in the insurance sector are particularly dynamic, and it’s essential for organizations to stay in tune with the latest developments and thinking. In this panel session, our expert speakers will discuss the growing challenges and lay the landscape of cyber insurance, potential limits, and trends. The conversation will cover new and evolving risks of cybersecurity, data availability, and differences between US vs. Europe.

The process of benchmarking is necessary to compare your organization’s compliance program elements, structure and processes to the external practices of your peers and the industry. In this discussion, our expert speakers will review the benefits of benchmarking, how to accomplish it, and what it means to run a successful RCM program.

Although many organizations have tried (often diligently) to embed ERM as part of the corporate DNA, the results have largely been disappointing. Few organizations have made the journey from Reactive to Proactive Risk Management. This session offers insights and examples into what has prevented a company’s successful transition. ERM maturity follows three distinct stages: Hindsight Culture, Insight Culture, and Foresight Culture. Each requires its own set of tools/maturities, and each stage must be achieved before organizations can mature and advance forward. Using our experience, we lay out the milestones of the process phase, what is required to transition to each next phase, and specific challenges to avoid.

During this panel discussion, our expert speakers will take a multi-industry view at what is driving ESG and why this topic is of central importance now. The panelists will take a deep dive into key ESG considerations, organizational impact and challenges from a US, European and board room perspective, and cover how firms and boards are addressing these challenges and shifting their focus on social responsibility, human capital and sustainability.

The concept of operational resilience is not new to banks and financial institutions. They have been managing some aspects of it—albeit in silos. However, since the COVID-19 outbreak, there is an increased focus on operational and business resilience. So, what is causing regulators across the globe to shift their focus on operational resilience? What do these frameworks and policies mandate or guide organizations to do? Join the session to hear our experts answer these questions and more.

In order to attract customers, banks of all sizes have been ramping up investment into new technologies. Bank innovation and product leaders, however, often find that a key limiting factor in their delivery of new digital financial services isn’t recruiting talent, or the time taken to write and test new code. Instead, it can be the time spent seeking approval from their internal regulatory and compliance approvals. Rapid innovation requires agile compliance. Join us to hear the firsthand experience of two leading bank product innovators.

The regulatory system has changed a lot in a year, and a decade from now, compliance and financial regulation will look vastly different. The technology transformation of the industry is continuing to accelate, which affects the regulators’ response and need for better tools, and in turn influences financial institutions and their new compliance expectations. Compliance innovation expert, Jo Ann Barefoot, CEO & Co-Founder, Alliance for Innovative Regulation, will explore the latest on how compliance technology continues to evolve in this digital age and the role it will play in banking and regulatory supervision. In this fireside chat, Jo Ann will discuss what the regulatory landscape looks like going forward and share what she sees as essential skills for the compliance officer of the future.

The world continues to change, and each year brings new risks, rules and regulations for BFSI organizations to consider. This panel will discuss best practices for staying competitive in a time of uncertainty and growth, addressing how firms can proactively navigate and manage regulatory changes in the areas of privacy, ESG, third party vendor management, and more. Our expert advisors will cover trends, case studies and how you can prepare to manage regulations as we head into 2023.

Regulatory intelligence doesn’t live in a vacuum. To bridge the gap between regulatory change and policies, Compliance.ai is introducing Bring Your Own Content, a new product that allows you to see and understand your own content, including policies, legal guidance, remediation plans and audit findings in context with the regulatory changes you already access within Compliance.ai. Learn how you can start using Compliance.ai’s Bring Your Own Content to round out your regulatory change workflow.

The rapidly-evolving state of regulations and cryptocurrency – why is this important and what does this mean for your organization? In this session, our expert panel will discuss perspectives on the economic, market and political environment surrounding cryptocurrency and share their views on government regulations, managing crypto risks, and a comparison of US vs. global regions in regards to crypto adoption and framework.

Our panel of expert advisors will cover the topic of Regulatory Change Management and how this differs by jurisdiction. They will review this topic across several geographic regions, including Europe, Canada and the USA, and cover reporting requirements to both internal constituents (management, committees and audit) and external regulators, answering the question of why is this important to me and my organization.

Welcome & Opening Remarks For EITL Forum 2022

Compliance is no longer in the back seat when organizations discuss standard operating models and information security mapping; it is an equal part of the conversation and an important force behind company actions. John Caruthers, Executive VP, Chief Information Security Officer for Triden Group, and former FBI Special Agent and Cybersecurity expert, will open the 2022 EITL Forum with a keynote on what motivates compliance and the role governance plays for firms in financial services and other industries. Drawing from his 27+ years of experience with the FBI and as a security executive advisor in the private sector, John will highlight the key driving forces behind companies’ impetus for compliance and how it motivates decision making.

During this panel discussion, our expert speakers will take a multi-industry view at what is driving ESG and why this topic is of central importance now. The panelists will take a deep dive into key ESG considerations, organizational impact and challenges from a US, European and board room perspective, and cover how firms and boards are addressing these challenges and shifting their focus on social responsibility, human capital and sustainability.

Compliance.ai is a comprehensive RegTech platform including web, API and content. Whether you’re a new client or a seasoned user, we’re here to introduce you to features you may not yet be familiar with and help you leverage all of our product functionality to its full potential.

The Compliance.ai platform leverages a crowdsourced, expert-in-the-loop methodology to automatically track, classify, summarize and prioritize financial regulatory content across jurisdictions and topic areas.
As a Contributor, you put the “expert” in “expert-in-the-loop.” During this session, learn what our contributor network is, how to join, what activities you’ll engage in, and why it’s a great opportunity for experts in the BFSI industry. Plus, see an example of how Compliance.ai uses its content engine to ingest regulatory documents.
If you have a laptop and internet access, you can become a contributor – all levels of expertise are welcome!

Visit the lounge to join the Advisor roundtable topic that most interests you and participate in the discussion.

Visit the lounge to join the Advisor roundtable topic that most interests you and participate in the discussion.

Want to see where we are going? In this session, we’ll share a sneak peek into web, API, and content-related updates coming soon and also provide insights into our longer-term plans. This session is for current Compliance.ai Customers only.

Having the right workflow can simplify your work life. Come see how the Compliance.ai product and client services teams have helped clients implement their own workflows and have taken them to the next level within the Compliance.ai platform.

Learn how the Compliance.ai client services and products teams have helped customers configure a complete End-to-End Regulatory Change Management Solution. In this session, see how customers add on to their Compliance.ai platform implementation using our pre-built APIs and Service Connectors, as well as integrations with GRCs to streamline activities.

Compliance.ai is a comprehensive RegTech platform including web, API and content. Whether you’re a new client or a seasoned user, we’re here to introduce you to features you may not yet be familiar with and help you leverage all of our product functionality to its full potential.

At Compliance.ai, we love client feedback. We’re introducing the Customer Advisory Council to give you a forum to share insights with Compliance.ai and help shape our future direction. In this session, we’ll discuss expectations for the council, provide information on how you can participate, and review exciting updates for the Training Center and Customer Portal. This session is for current Compliance.ai Customers only.

Organizations achieve their objectives by taking risks. Archer is a leader in the risk management space, helping companies look at the relationship of strategies, objectives, products, policies, and regulatory obligations. Compliance.ai’s mission is to transform how regulated organizations specifically within the BFSI industries address compliance and regulatory risk. In this session, learn how Compliance.ai and Archer bridge the gap to enable best of breed RCM with GRC by connecting regulatory changes to risk controls, policies and procedures.