Past Event

The State of RegTech: Where to go From Here

Join Capco for a discussion on regulations that had the most impact in 2018 and what the 2019 landscape looks like.

Thursday, November 29, 2018
5:30 PM - 7:30 PM (Central Standard Time)
1871 Auditorium

In addition to the challenges associated with tracking and monitoring the constantly-evolving landscape of rules and regulations, financial institutions face steep challenges with translating the changes and understanding their implications. Oftentimes, the response is to increase the number of personnel tasked with tackling these issues; but this “solution” is commonly ineffective and may not resonate with regulators. In this session, we will discuss the regulations that had the most impact in 2018 and what the 2019 landscape looks like.

About Peter D. Dugas, Managing Director, Center of Regulatory Intelligence
Peter has more than 16 years of government and consulting experience in advising clients on supervisory matters before the U.S. government and in the implementation of enterprise risk management programs. He is a thought leader in government affairs and regulatory strategies in support of banks and financial institutions compliance with the Dodd-Frank Act and Basel Accords. Prior to joining Capco, he served as a director of government relations at Clark Hill and in senior government positions, including serving as a deputy assistant secretary at the United States Department of the Treasury.

Brian Clark, Founder and CEO, Ascent RegTech
Brian has a wide breadth of regulatory compliance experience including derivatives exchanges, market investigations, clearinghouse compliance, and registered brokerage businesses. He earned an undergraduate degree in Economics from the University of Illinois, a Juris Doctor degree from DePaul University, and an MBA from the University of Chicago’s Booth School of Business. In 2012 he co-founded Ascent RegTech. Ascent's AI-powered platform automatically extracts a firm's specific compliance obligations from oceans of regulatory text, organizes those obligations into workflows, and alerts customers when important regulations change.

The State of RegTech: Where to go From Here
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