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:

  • MiFID-II, EMIR, BASEL-III, Dodd-Frank
  • 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