David Nigro

AVP Regulatory Compliance


All Sessions by David Nigro

Printer Friendly See Full Agenda

Day 1: Jun 17, 2020

Day 2: Jun 18, 2020

11:10 am

11:10 am

Optimizing Your Compliance Program in the Face of Regulatory Changes, Increased Digitalization, and Market Risk

Evolving your compliance programs is an ongoing challenge as new rules come into place. Meet your increased obligations by preparing for impending challenges such as Client- Focused Reforms, digital transformation, and other registrant oversight requirements. Hear from other compliance departments as they discuss practical solutions to:

  • Improve your training, education, and registrant oversight
  • Identify, prioritize and address gaps in compliance programs as risks and obligations evolve
  • Understanding the implications of rapidly changing market risks in the context of recent CSA guidance for Effective Liquidity Risk Management for investment funds
  • Anticipate and address expected regulatory changes in the near and short term

 

Develop and implement a truly optimized compliance program to meet your regulatory and business challenges