2018 East Coast Regulatory Summit

Hosted by: East Coast Regional Committee | July 17, 2018


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Location: State Street Corporation, Boston

Venue information provided below.

 

Members

Non-Members


Space is limited and offered on a first-come, first-served basis.


ABOUT


The 2018 East Coast Regulatory Summit offers attendees an unparalleled opportunity to:

  • Get the latest insights regarding the future of financial services regulation
  • Learn the latest developments around risk and compliance best practices
  • Hear diverse perspectives from influential thought leaders and decision makers
  • Share strategies and concepts with peers

    Registration is complimentary, with special thanks to our sponsors: State Street Corporation and Computershare

    We encourage you to bring an industry colleague! Members and non-members must register in advance.

AGENDA


7:30 - 8:00 am ET
Registration & Welcome Coffee
8:00 - 9:00 am ET
Networking Breakfast

Join industry peers in discussion to gain new insights on regulatory trends and challenges impacting global asset management and financial services firms.

9:00 - 10:30 am ET

Discussion: Regulatory Expansion and Adaptation

While debate unfolds regarding the merits of a harmonized fiduciary rule, and the advantages of a principles-based approach to liquidity regulation, the asset management industry finds itself once again in an era absent of clarity. Compliance remains a priority focus for financial firms, with new programs needed to stay ahead of the curve. Join our panel of experts as they explore today’s hottest regulatory issues:

  • Benefits and practical problems associated with a harmonized fiduciary rule
  • Establishing prudent liquidity risk management practices amidst uncertainty
  • Developing programs that sufficiently address 2018 FINRA priorities

  • Meet our Panel:

    Elizabeth Page, Vice President & Director, FINRA
    Michael Weissmann, Senior Vice President - Regulatory Compliance, Fidelity Investments
    Alison Staloch, Chief Accountant - Division of Investment Management, SEC
    Joe Barry, Senior Vice President, State Street Corporation

     

     

SPONSORS


THANK YOU TO OUR SPONSORS:


 
 


VENUE


State Street Financial Center

Address: One Lincoln St, Floor 36, Boston, MA 02111
Parking: One Lincoln St Parking


 

 

 

   

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