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Financial Services RegTech and Regulatory Compliance Forum 2019
Clifford E. Kirsch
Banking, Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Peter Driscoll, U.S. Securities and Exchange Commission, Staying Vigilant to Protect Investors, Remarks at the SIFMA Operations Conference and Exhibition, Boca Raton, FL (May 8, 2019)
Chapter 2. Carole L. Basri and Irving Kagan, Ch. 11: Corporate Compliance Programs, Practicing Law Institute, Corporate Legal Departments: Practicing Law in a Corporation (4th Edition) (November 2011)
Chapter 3. Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, 2019 Examination Priorities
Chapter 4. Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Keynote Address, The Role of Big Data, Machine Learning and AI in Assessing Risks: A Regulatory Perspective, Remarks before the 19th Annual Operational Risk North America Conference, New York, NY (June 21, 2017)
Chapter 5. Law 360, 9 Data Considerations for Investment Management Attorneys (March 11, 2019)
Chapter 6. Data, Privacy and Cybersecurity: A Primer for Financial Services Legal and Compliance Professionals
Chapter 7. Satish M. Kini and Zila Reyes Acosta-Grimes, Ch. 26: Anti-Money Laundering Requirements for Investment Advisers, Practicing Law Institute, Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (3rd Edition) (June 2018)
Chapter 8. Attorney-Client Privilege in Investigations: Evolving Standards
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