Wednesday, March 27th: 8 A.M. PST | 11 A.M. EST | 4 P.M. GMT
Duration: 30 minutes
2018 was a busy year for financial services companies with continued enforcement actions, related fines and penalties and ongoing regulatory changes. The UK’s Financial Conduct Authority imposed fines of more than £60 million. US regulators along with federal and state prosecutors reached a settlement requiring Société Générale to pay penalties of $1.34 billion.
As the first quarter of 2019 draws to an end, join Stuart Brock & Lynn Sumlin as they examine the:
Currentstate of regulatory actions
- Key compliance concerns for the remainder of 2019 including LIBOR/IBOR and data privacy
- Role of AI in meeting compliance requirements while driving down costs
Stuart is a Director at Seal Software where he helps lead Seal’s financial services programs. He is a licensed attorney who practiced law at a top national firm for some 10 years before moving in-house at Bank of America. During his tenure with Bank of America, Stuart held various roles within the Legal, Compliance & Procurement organizations.
Lynn also is a Director at Seal Software. Lynn works closely with Seal’s financial services clients. Prior to joining Seal, Lynn practiced law for over 20 years and was