HOW FINANCIAL SERVICES FIRMS IMPROVE VISIBILITY INTO COMPLIANCE AND PERFORMANCE

Sponsored by Workday
DATE: WEDNESDAY, SEPTEMBER 18, 2019
TIME: 2:00 PM ET
DURATION: 1 HOUR

Webcast Summary

During periods of economic volatility, financial services firms that offer diverse lines of business typically face a similar challenge. In order to comply with changing regulatory requirements, financial services firms require full visibility into the performance of each line of business. But it is precisely due to economic volatility that financial services firms often lack visibility into their overall performance. The greater the number and variety of lines of business, the more difficult it is for financial services firms to gauge their performance in the present, let alone plan for the future.  

During this Webcast, we will reveal how finance leaders at financial services firms can improve their companies' visibility into both compliance and performance. We will discuss:

  • What challenges financial services firms most often encounter with maintaining visibility into performance, as well as regulatory compliance, among multiple lines of business,
  • What finance leaders should keep in mind when evaluating what resources are necessary to support diverse lines of business in terms of performance goals and regulatory requirements, and
  • The latest technological advances finance leaders can use not only to gain visibility into performance and compliance but also identify opportunities to improve both.

About the Panelists

John Cavallone, CPA, Partner, Citrin Cooperman

John Cavallone is an audit partner with nearly three decades of experience. He specializes in the financial services industry, with a focus on broker-dealers and private equity funds. Serving a variety of financial services clients, he is actively involved with regulatory consulting and assisting clients with structuring and regulatory matters.
Fizza Khan, Chief Executive Officer, Silver Regulatory Associates
 

A pioneer in providing outsourced compliance services to investment firms, Fizza Khan is an expert on regulations governing investment advisers, broker-dealers, and registered and private funds. From her experience in leadership positions with compliance consultancies, as in-house legal counsel, and in compliance roles with various financial institutions and law firm practices, Fizza has developed an approach for clients that calibrates best practices with business realities.

About the Moderator

Joe Fleischer, Editorial Director, Finance Channel, Argyle Executive Forum
 
In his role as finance channel editorial director with Argyle Executive Forum, Joe Fleischer focuses on developing webinars on topics that reflect the primary concerns and priorities of senior finance executives. He is based in New York.
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Webinar Inquiries: For inquiries as well as complaints concerning this webinar, you are welcome to send an email message to webcast_feedback@cfo.com. Please note that only those who attend the live webinar will have the opportunity to earn continuing professional education (CPE) credit in connection with this webinar. Because there is no charge to register for this webinar, there are no refunds following registration for this webinar.

Field of Study: Finance
Level: Intermediate
Prerequisite: None
Advance Preparation: None required
Delivery Method: Group Internet-based
Recommended CPE Credit(s): 1 


To be eligible to earn one CPE credit, you must answer at least three polling questions while attending the program for a minimum of 50 minutes. 



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