Leveraging Regulatory Technology for Your Firm


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About This Course

During this CLE program, panelists discuss how RegTech is impacting the securities industry as well as related benefits, risks and regulatory considerations. The session also covers different RegTech tools available to enhance compliance efforts, such as FINRA's new Machine Readable Rulebook as well as other tools involving the use of artificial intelligence and cloud computing.

This session will discuss:

  • Considerations for using Regtech tool such as those incorporating AI for regulatory compliance including vendor review, risks, supervision requirements and vendor management
  • Discuss FINRA’s Machine Readable Rulebook and the use of Regulatory Intelligence tools
  • Discuss moving records to the cloud
  • Cover SEC’s recent amendments relating to electronic recordkeeping requirements

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