RMA NY Annual Regulatory Roundtable

Please join the RMA NY Chapter on Wednesday, June 5, 2024, for our Annual Regulatory Roundtable. We will be hosting a networking reception at 5:15pm and the panel discussion will begin at 6:15pm.

Topics may include:

• 2024 Regulatory & Supervisory Priorities
• Emerging Regulatory Risks and How the Financial Services Industry Should Address These Risks
• Role of the CCO and CRO for Critically Important Compliance and Risk Decisions
• Artificial Intelligence - Data Governance and Management
• Use of Electronic Communications/Off-Channel Communications
• Technology Solutions to Identify and Mitigate Emerging Industry Risks Meeting Regulatory Expectations

Referenced Articles:

SEC Speech - The Role of the CCO - Empowered, Senior and With Authority

Speakers:

• Beth Dugan, Deputy Comptroller for Large Bank Supervision, Office of the Comptroller of the Currency (OCC)
• Karen Kahrs, Institutional Supervision Program Lead, Supervision Group, Federal Reserve Bank of New York
• Maurya Crawford Keating, Associate Regional Director, New York Regional Office, U.S. Securities and Exchange Commission (SEC)
• Michael G. Rufino, National Associate Director – National Broker-Dealer/Exchange Program and Associate Regional Director in the New York Regional Office, U.S. Securities and Exchange Commission (SEC)

Moderators:

• Carlo di Florio, Global Advisory Leader, ACA Group
• Yvonne Pytlik, Professor/Lecturer at Columbia University MS. ERM – Strategic Risk Management; Chief Compliance Officer at ACA Group and Financial Services Industry

Please Save the Date for Additional Upcoming Programs:

September 26, 2024: Emerging Risks on Election Outcomes

Thank you to S&P Global Ratings for our Platinum Sponsor for all programming in 2024.

We would like to thank CLS for being a 2024 programming sponsor of the RMA New York Chapter.

Registration:

Mark your calendar and register early. Come join us for this professional development effort and also network in-person with risk management colleagues. Click HERE to register.

Fees:

New York Chapter Members: $65
Non-Members: $95