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Compliance Risk Concepts (CRC) Holds First Compliance Roundtable in NYC

Compliance Risk Concepts (CRC) Holds First Compliance Roundtable in NYC

Mitch Avnet
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November 1, 2013

On 10/30/2013, CRC conducted its first industry Compliance Roundtable. Hosted by Barry Barbash, Partner at Willkie, Farr and Gallagher LLP, there were over 30 people in attendance.

Panelists and guests included Chief Compliance Officers and Senior Compliance Officers from TD Securities, PNC Capital Markets, Santander, Wells Fargo, Deutsche Bank and Key Capital Markets.

In addition to the impressive Compliance Officer lineup - leadership from technology companies - TradeDynamix and Nasdaq OMX were on-site to contribute to the discussion.

Roundtable Topics / Discussions included:

  1. Current Regulatory Enforcement Actions and Themes
  2. Regulatory Change Management, Information Flows and GRC integration
  3. The Role of Artificial Intelligence in Creating Smarter and Practical Compliance Surveillance Programs
  4. Trade Manipulation and Real Time Market Transparency
  5. SEC Rule 613: Consolidated Audit Trail Implications, Costs and Impact on Member Firms

Based on the overall engagement of the attendees and the vibrant interaction, CRC intends to conduct 2-3 additional Compliance Roundtables over the next 6 to 12 months.

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