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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, listen to 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 Brock is a Director in Seal’s Analytics Production Group where he helps lead Seal’s financial services programs. Stuart 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 and Procurement organizations.
Lynn Sumlin is a Director in Seal’s Analytic Production Group, where she serves as a subject matter expert for financial services products and a relationship manager for key Seal clients. Prior to joining Seal, Lynn practiced law serving as a partner at an AMLAW 100 firm advising large institutional clients. Lynn’s legal practice focused primarily on representing financial institutions and related financial services entities.