Catelas Surveillance Roundtable – Policy creation: Feb 11th Boston
Boston
Policy creation process
Feb 11th: 8am to 10:30am
How to craft risk policies yourself:
- Insider Trading, Control & Monitoring of MNPI
- Active Deal Monitoring & Control Room
- OFAC Surveillance
- GDPR & the new cost of PII leakage
- Conduct Risk
This forum is an open dialog between experienced surveillance practitioners on how to deliver on the promise of next gen. surveillance.
Catelas Intro Video – 3 mins
“The group was excellent – an interesting mix of thoughtful perspectives made it well worth the time. We look forward to the next event.”
Jason Nagy, Senior Compliance Officer, Perella Weinberg Partners
Topics Covered at last roundtable
20 Chief Compliance Officers from buy and sell sides shared their experiences and discussed their efforts to successfully roll out more defensible and effective surveillance systems. Lessons learned covered :
- AI / Machine Learning – Myth of Magic, a practical guide to its use
- Successful Deployments – what they look like and how to get there
- The Business Case for Surveillance Technology – how to garner management support
With a more effective surveillance technology in place, more attention needs to be focused on how to manage risk, conduct and control violations. In many cases, a new operating model is worth considering.
“I thought it was a great meeting and I look forward to participating in the future”
CB Richardson, Managing Director, Legal and Compliance, Blackstone
Defensibility of AI & Machine Learning
Learn about the three key concerns raised by compliance officers and surveillance practitioners:
- What is AI / Machine Learning? How can it be used defensibly?
- Compliance Policy Library: buy versus build
- Defensibility of next generation surveillance technologies