With the asset management industry squarely in the Securities and Exchange Commission’s crosshairs in recent years, fund managers have turned to technology to keep apace with new requirements.
This briefing will feature a panel of fund compliance, operations and technology experts, who will debate the direction of the so-called regtech movement, and where fund companies stand to take advantage of emerging opportunities.
Areas for discussion include:
– Which aspects of the regulatory environment are driving fund companies to turn to new technologies for solutions? (the DOL rule? Liquidity risk management? Data modernization?)
– What is the impact of regulation on data management? What do firms need to think about? How do they address the need for more transparency?
– How should firms go about implementing new regtech tools and programs across the front, back and middle-office?
– Getting operations teams up to speed on compliance requirements before diving into new regtech programs.
– As fund companies develop new technology to aid regulatory compliance, what’s the best way to keep from reinventing the wheel?
– What is the cost of building new technology in-house versus outsourcing?
– What are the operational hurdles to integrating new regtech systems?
– What is the overlap between regtech solutions and business development or investment strategies?
– Do new regtech needs reposition the attractiveness of outsourced compliance? What are the costs and risks?
– What happens to technology infrastructure in the works when regulations fall through or are delayed?
– The SEC cited robo-advisers as a 2017 exam priority. What technology is the most effective for getting compliant disclosures to customers? What is the CCO’s and board’s obligation in overseeing compliant robo-advice platforms?
– What is the impact of regulation on data management? What do firms need to think about? How do they address the need for more transparency?
– How should firms go about implementing new regtech tools and programs across the front, back and middle-office?
– Getting operations teams up to speed on compliance requirements before diving into new regtech programs.
Speaker panel:
Chris Napoli, senior manager, EY
Carol Penhale, managing director, Broadridge
Scott Knous, managing director, data management leader, Olmstead Associates
Additional speakers to be announced shortly
Agenda:
08:30 Registration & networking breakfast
09:10 Introduction
09:15 Panel discussion – Regtech: Challenges and opportunities for asset managers
10:00 Questions
10:15 Close
The event is FREE to attend for existing Fund Intelligence members and trial users.
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