There are several key trends and hot topics that are shaping the current and future landscape of the Financial Services industry. This dynamic and informative panel-style session will provide attendees with a well-rounded set of expert opinions, facts and observations from a blend of panelists made up of Smarsh customers, former regulator executives and well-known Financial Services industry consultants and services providers.
Panelists for this session include Jason Albino, Chief Compliance Officer for Penn Mutual, , Molly Rowan, Assistant Vice President of Cordium, Rick Nummi, former Senior Attorney for the SEC, and Brandon Klerk, Founding Principal for Halyard Consulting. A compliance expert from Smarsh partner Consilio will also be participating on the panel for this session. Topics discussed will include the DOL fiduciary rule taking effect next April and its potential impact, the trend of increasing regulator scrutiny, scope and fines for non-compliance, balancing privacy issues with effective electronic communications governance, leveraging compliance-related data and efforts for broader purposes such as e-discovery, and other key topics brought to the table by our panel of experts and those introduced as a result of audience Q&A.
Attend this breakout session to:
- Hear first-hand views, opinions, facts and observations from a panel made up of some of the leading Financial Services industry experts
- Ask questions and get answers about the key issues and trends that are top of mind for virtually all Financial Services firms today – big or small
- Benefit from well-rounded content shaped by Smarsh customers and partners, independent Financial Services consultants and former regulator executives
We are all in this together when it comes to figuring out how best to respond to the key trends and issues that are impacting the Financial Services industry. Make sure to be a part of this session and join in on the chance to discuss it all LIVE with the experts at SmarshCONNECT.
Register for SmarshCONNECT