Navigating the Challenges of the Regulatory Abyss: Finding Solutions for Technological Dilemmas, International Coordination & Increased Oversight

01 Mar 2018
10:15am- 11:45am

Navigating the Challenges of the Regulatory Abyss: Finding Solutions for Technological Dilemmas, International Coordination & Increased Oversight

Nathan Dean
Senior Government Political Analyst
Bloomberg Intelligence

Brian Kidd
Assistant Chief, Securities and Financial Fraud Section
U.S. Department of Justice

Alexandre Manfull
Assistant Director for Compliance Office of Foreign Control
U.S. Department of the Treasury

Kathleen McGovern
Senior Deputy Chief, Fraud Section
Department of Justice

Moderator
Deborah S. Prutzman
Chief Executive Officer
The Regulatory Fundamentals Group LLC

  • Reconciling differing regulatory regimes
  • Assessing the impact of the Allen decision on international enforcement and prosecution
  • Analyzing the extraterritorial application of securities laws
  • Understanding why the lack of regulation has led to industry-wide self policing procedures
  •  Managing competing operational risks under CRS and FATCA and FFIs
  • Probing the global synchronization of disclosure regulations and other investor-disclosure related directives
  • Survey of examination trends and expectations under the Trump administration
  • Reviewing recent enforcement actions and looking at the next areas of federal focus
  • Measuring the cost of compliance and how mangers are coping with the fiduciary rule, FATCA and AML concerns
  • Shining the light on regulatory and compliance initiatives in Latin America