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The State of Policy Governance and Conflicts of Interest / Conduct Management in Financial Services

2019-09-19 @ 3:00 pm 6:00 pm

Please join us for this executive roundtable event that will bring together leaders from some of the nation’s largest banks to discuss, face-to-face, their challenges, opportunities and best practices in employee conduct management and policy governance. The event will be facilitated by Michael Rasmussen, an internationally recognized pundit on governance, risk management and compliance (GRC).

Please join us for this executive roundtable event that will bring together leaders from some of the nation’s largest banks and financial services firms to discuss, face-to-face, their challenges, opportunities and best practices in employee conduct management and policy governance. The event will be facilitated by Michael Rasmussen, an internationally recognized pundit on governance, risk management and compliance (GRC).

AGENDA

  • Debrief on the current state of Code of Conduct / Ethics and Policy Governance in large banks and financial services firms.
  • Roundtable discussion of key challenges, industry trends and operational best practices.
  • Social hour – Hors d’oeuvres and a “Wines of the World” wine tasting led by an expert sommelier.

WHO SHOULD ATTEND?

  • Chief Compliance Officers
  • Chief Risk Officers
  • Chief Ethics Officers
  • Senior Leaders in Compliance, Risk, Ethics, Governance

The is no fee to attend this event. However, space is very limited. Reserve your seat today.

GRC 20/20 Facillitator

Michael Rasmussen – The GRC Pundit @ GRC 20/20 Research, Michael Rasmussen is an internationally recognized pundit on governance, risk management, and compliance (GRC) – with specific expertise on the topics of GRC strategy, process, information, and technology architectures and solutions. With 26+ years of experience, Michael helps organizations improve GRC processes, design and implement GRC architectures, and select solutions that are effective, efficient, and agile. He is a sought-after keynote speaker, author, and advisor and is noted as the “Father of GRC” — being the first to define and model the GRC market in February 2002 while at Forrester Research, Inc.

Roundtable Sponsor

RegEd is a provider of RegTech enterprise solutions with relationships with hundreds of enterprise clients, including 80% of the top 25 financial services firms. Established in 2000 by former regulators, the company is recognized for continuous regulatory technology innovation with solutions hallmarked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards. The aggregate drives the highest levels of operational efficiency and enables our clients to cost-effectively comply with regulations and continuously mitigate risk. Trusted by the nation’s top financial services firms, RegEd’s proven, holistic approach to RegTech meets firms where they are on the compliance and risk management continuum, scaling as their needs evolve and amplifying the value proposition delivered to clients.

RegEd

+1.800.334.8322

http://www.reged.com

Davio’s New York City

447 Lexington Avenue
New York, New York 20017 United States
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