3a. ALL – Innovation or Disruption?  The Impact of FinTech and RegTech on Compliance Programs


Financial technology (FinTech) has revolutionized the ability of financial services firms to serve their customers. Advances in regulatory technology (RegTech) have provided a myriad of technology solutions for compliance officers to meet ever increasing regulatory burdens. In this session, early and avid adopters of tech innovations will discuss how they have managed through some of the challenges experienced as FinTech has evolved over time. Additionally, this panel will also examine how RegTech tools have advanced their compliance programs to meet both new and “evergreen” compliance concerns.
Learning Objectives:
• Understand how new technologies are driving FinTech and RegTech solutions, including an understanding of supervisory technology (SupTech) used by Regulators.
• Consider how these advancements may affect the roles of compliance officers today and in the future with particular attention to case studies
• Identify the cost and benefits of implementing new technology solutions versus maintaining existing compliance processes
• Gain a deeper understanding of how tech solutions could enhance your firm’s compliance program

Intermediate                        Program Level: Panel Date: November 8, 2021 Time: 2:00 pm - 3:15 pm

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