What you'll hear in the session
Four themes from the panel
Practitioners share what's changed, what's breaking, and what firms need to do next.
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Keeping pace with change
"The challenge is keeping up to date and managing all of our regulatory obligations in a really dynamic environment."
Kay Woolmer, BGC Partners
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Manual processes at breaking point
"You really do have to have an automated system in order to deliver all the requirements and keep everything accurate and timely."
Amanda Breen, U.S. Bank
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Technology must support governance
"A system isn't the be all and end all. It needs to be supported by guidance, policies and processes."
Kay Woolmer, BGC Partners
SEAR accountability frameworks
Governance workflows
SM&CR fitness & probity
Regulatory evidence
Responsibility mapping
Audit readiness
