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Banking & Securities

August 14

SEC Rule 613, Consolidated Audit Trail: Is Your Organization Making Necessary Preparations?
2:00 PM ET (18:00 GMT)
SEC Rule 613 represents a paradigm shift in the regulation of U.S. capital markets. Market participants will need to capture and retain granular trade detail at the beneficial owner level across multiple asset classes and the trade order life cycle. How can you prepare? Learn more about how Rule 613 will require transformation of an organization's approach to the design and support of regulatory reporting and surveillance.
Read more | Register

September 22

CCAR and Stress Testing: Evolving Regulatory Expectations and Industry Practices
2:00 PM ET (18:00 GMT) 
Rules and guidance for the Comprehensive Capital Analysis and Review (CCAR) and related Dodd-Frank Act requirements have evolved at a rapid pace over the last couple of years with broad impact across the industry. What progress have banks made with respect to implementation of rules? Learn how the changing regulatory landscape could likely impact your financial institution and potential challenges you may face implementing new regulations.
Read more | Register

Related Series

Financial Services
Insurance
Investment Management
Private Equity, Hedge Funds & Mutual Funds
Real Estate

Archived Webcasts

Webcasts are archived for 180 days after the live broadcast. CPE Credit is not available for viewing archived programs.

The Small Business Segment: A Ripe Opportunity for Expanded Primary Bank Relationships
July 15, 2014

After the Dust Settles - Revisiting OTC Derivatives Business and Operating Models
June 10, 2014

Potential Impacts of Regulatory Developments in Financial Accounting and Reporting, Valuation, and Structured Products
April 03, 2014

Recent OCC and Federal Reserve Guidance and Rule Changes: Urgent Update
March 24, 2014

New B2C Digital Business Models in Wealth Management
February 25, 2014

Repositioning for Growth: 2014 Outlook for Banking and Capital Markets
January 21, 2014

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