image-4.png?width=28&name=image-4.png   Wednesday, March 27th: 8 A.M. PST | 11 A.M. EST | 4 P.M. GMT

image-5.png?width=25&name=image-5.png   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:

  • Current state 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 partner in banking practice of an international law firm.  She concentrated her legal career in serving the financial services industry, including handling a wide variety of regulatory, commercial financial, securities and corporate transactions.