2024年监管战略的未来一年.pdf

1、The year ahead2024 Regulatory StrategyT3:Technology Tools for Today20THANNIVERSARY Beth HaddockBeth has been dedicated to regulation and financial services as a litigator,a legislative aide on Capitol Hill and compliance officer at global and early-stage financial services and fintech companies incl

2、uding AXA Financial,Brown Brothers Harriman and Guggenheim Investments.She is also a distinguished author,speaker,trustee and Co-Chair of Web3 subcommittee for the New York City Bar Association(NYCBA)and member of the Regulatory Advisory Committee for the National Society of Compliance Professionals

3、 and the Compliance Committee for the NYCB.Suleman DinSuleman is AdvisorEngines Advisor Intelligence Lead.He is editor-in-chief of Action!,a magazine with actionable content for wealth management leaders.Previously Suleman oversaw technology coverage for American Banker and Financial Planning.At Fin

4、ancial Planning,he launched ReinventWealth,the first newsletter dedicated to covering the evolution of digital wealth management and helped establish its INVEST conference.Previously,Suleman was a contributing editor to KnowledgeWharton,the online business journal of the Wharton School of Business,a

5、nd reported for the Newark Star-Ledger,where his coverage of the Asian tsunami in 2004 earned him a finalist nod for the Livingston Awards.Q:Are you accountable for the compliance program?T3:Technology Tools for TodayA:Yes/NoQ:Are you a firm principal,Chief Compliance Officer,or both?A:Firm principa

6、l/CCO/both T3:Technology Tools for Today T3:Technology Tools for Today T3:Technology Tools for TodayCheck onResourcesConsider Industry ParticipationConfirm Vendors are Top NotchPrepare2024 Regulatory Strategy T3:Technology Tools for Today T3:Technology Tools for Today2024 Game Plan Make a Road Map o