Capital Markets | Corporate and Commercial Banking | Wealth Management and Private Banking
Under threat of billions of dollars in fines, your firm must take action to comply with financial services regulations, and tax & privacy laws. Few solutions exist to help you demonstrate compliance, and those that do only take a specific tactical focus to meet individual regulations.
You need a strategic approach that helps you deal with new and existing requirements, including:
- KYC, AML, CDD
- MiFID-II, EMIR, BASEL-III, Dodd-Frank
- FATCA, AEI
- Privacy and Anti-SPAM legislations
Learn how to enable a strategic approach to compliance by driving compliant behavior from front-office staff, and at the same time examining all back-office data to demonstrate that compliance.
Please join Bryan Sachdeva, Director of Products at NexJ Systems, as he discusses the regulatory environment and how successful firms demonstrate compliance, including:
- The evolution and impact of the financial services regulatory environment
- Relevant regulations by financial services vertical and how to meet them
- Establishing a comprehensive risk and regulatory-focused view of customers
- Driving compliant behavior through business process
- Storing, archiving, monitoring and reporting on business data