3a. BD/IA – FinTech & Technology Governance (OPEN)


The emergence of new FinTech solutions has contributed to and the rapid change of technology systems, disruption, and speed to market. This panel will focus on the perspectives of the regulators with representatives from both the SEC and FINRA, as well as in house compliance officers regarding the risk of information and technology change management policies and procedures. This session will also discuss best practice policies, procedures and strong controls for system changes to help your compliance program mitigate risk. This session is open to regulators and members of the press.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Explore regulatory requirements for technology governance and emerging FinTech and regulatory trends
• Assess how customer service and regulatory issues may result from operational breakdowns because of new technology implementations
• Discuss how inaccurate, incomplete, untested or unauthorized changes to production environments threaten system outages and data inaccuracies for clients and the markets
• Navigate how these issues have significant impacts to data integrity and customer protection.

Sponsored by:

Panel                        Program Level: Intermediate Date: October 21, 2019 Time: 2:10 pm - 3:25 pm Keith Cassidy Chris Hetner Haimera Workie