Regulatory Compliance for the New Normal
Join this webinar to get a high level overview of which investment firms have an obligation to capture, review and archive communications and what are the best practices where regulations are not yet in place. We will also cover how to secure and monitor the wide array of digital platforms that were introduced during the pandemic and are now here to stay as firms move into hybrid work environments.
Discussion Topics:
- Demystifying compliance regulations across firms and regions
- The value of the golden copy and compliance best practices
- How to properly secure and monitor online communications in a hybrid environment (Text, Whatsapp, Gmail etc..)
- How to tackle human error - the biggest threat to organizations today
- Regulatory compliance for the new normal
Speakers
gary stone
Regulatory Analyst and Market Structure Strategist
Bloomberg
Gary Stone is the Regulatory policy analyst and market structure strategist in the Regulatory Policy and Government Relations team at Bloomberg. A recognized expert on cross-asset market structure, he was a member of the U.S. Securities and Exchange Commission’s Equity Market Structure Advisory Committee (2015-2018). In 2014, he was named one of the top 100 most influential professionals in the capital markets by The Trade magazine.
Prior to this role, Gary was the Chief Strategy Officer of Bloomberg Trading Solutions and was responsible for identifying innovative product and market opportunities as well as building strategic relationships. His focus was on helping clients identify and solve their compliance challenges arising from new regulatory mandates, such as MiFID II.
Gary joined Bloomberg's agency broker, Bloomberg Tradebook, in 2001 as a senior analyst, and was named Director of Trading Research and Strategy in 2004. Gary became Chief Strategy Officer in 2007.
Prior to Bloomberg Tradebook, Gary was vice president of business development and the acting CFO for Multicast Media Network, Inc. He also served as vice president and senior trader on a variety of trading desks at (BNP) Paribas Corporation, including its proprietary trading desk. He began his career as an economist in the domestic research group, and a trader, on the Open Market Trading Desk of the Federal Reserve Bank of New York.
Gary earned a Master of Science in Cyber Security Technologies from the University of Maryland Global Campus, Master of Business Administration in Finance and International Business from the Stern School of Business at New York University and a Bachelor of Arts in Computer Sciences: Mathematics and Economics from the University of Rochester.
Simon Smith
Senior Relationship Manager
Bloomberg L.P.
Simon Smith has 25 years of international finance and technology experience. Since arriving in New York his specialty has been compliance and compliance technology and he attained his series 7 and 63 licenses in 2012.
Simon joined Bloomberg's Compliance Technology group in 2014 and works with clients ranging from sole trader operations to Tier 1 banks. Previously to Bloomberg, Simon has held senior positions at Charles Schwab, Compliance11 and Refinitive.
Tatiana Chin
Client Risk Advisor
Bloomberg
Tatiana is an information security and risk management professional working in New York and hailing from Atlanta. She currently serves as a Client Risk Advisor in Bloomberg's Chief Risk and Compliance Office, building and maintaining rapport with front, middle, and back office stakeholders at firms of all sizes. She is tasked with staying informed of new technologies, regulations, and the threat landscape surrounding Bloomberg and its clients.
As a Certified Scrum Master, Tatiana is passionate about using data to identify problems and using Agile to solve them. Aside from her day-to-day duties, she is enthusiastic about inclusive leadership, public speaking, and mentoring New York's youth.