The 2018 NSCP Conference connected industry professionals, their thought leadership and strategies within the realm of compliance. Following are fundamental keynotes shared at the conference.
Robotic process automation (RPA) is the next logical step in the age of business process digitalization. It complements and collaborates with human capital to execute mission-critical business applications.
Financial institutions are faced with evolving and sophisticated methods to commit financial crimes. Accordo has expertise in designing and implementing artificial techniques to detect and prevent these criminal activities.
SEC and CFTC have prioritized firms operating unregistered digital tokens or crypto-exchanges. Accordo can help register your digital token offering and establish a robust compliance program.
The new beneficial ownership requirements determined by FinCEN under its Final Rule and those by the European Commission under the 4th EU Money Laundering Directive for covered member firms.
Adhering to the new margin requirements will require investment in resources and time. Accordo and Matrix Applications can ensure the effectiveness of your firm’s strategy around Rule 4210.
FINRA member firms will need to comply with the new margin requirements while assessing functional interdependencies across finance, credit risk, KYC/client onboarding, legal and compliance groups.
The SEC Rule 613 set forth a National Market System (NMS) Plan to establish and maintain a consolidated audit trail (CAT) of order, quote, execution and linkage of information in the U.S. equities and options market
MiFID II will take effect Jan 3rd, 2018 for EU firms. The impact will also be felt by U.S and non-EU firms. Learn about the fiduciary obligations and regulatory requirements for investment managers and affiliates.
Blockchain is challenging industry players to fundamentally re-engineer their processes to build a more efficient, secure and cost-effective operating model and unlock sustainable gains and long-term competitive advantage.
Fraud threats and cyber attacks are becoming more sophisticated. Financial firms should conduct assessments, enhance anti-fraud controls and establish a robust fraud and cyber risk analytics platform.
FINRA has increased scrutiny on member firms’ cybersecurity and enterprise risk framework. Accordo’ s publication reviews the latest news trends, regulatory actions and key considerations firms need to consider.
FINRA advises financial firms to revisit their liquidity risk-management policies. Broker dealers need to conduct stress tests and establish a continuing process to test for liquidity risk management.
