OVERVIEW
This high-impact, half-day symposium will bring together senior leaders from the financial services sector for a straight-talk session on compliance and resilience. The goal: share what’s working, where banks and funds are struggling with program challenges, and how to build approaches that protect and enable the business instead of slowing it down.
Participants will engage in discussions designed to unpack the realities of today’s compliance landscape and uncover valuable peer-driven insights. Together, we’ll explore how to build a robust, forward-looking compliance and resilience framework that not only mitigates risk but also creates competitive advantage in a market defined by transparency and trust.
PURPOSE OF THE SYMPOSIUM
- Examine the critical forces reshaping the financial services ecosystem
- Explore emerging practices transforming compliance functions and learn how risk and compliance leaders can adopt agile, future-ready strategies
- Share best practices from financial services organizations on building resilience through innovation, technology, and data-driven decision-making
- Cultivate a connected community of legal and business leaders in the financial services sector committed to exchanging insights, accelerating transformation, and driving meaningful change across the ecosystem
Who’s attending
This series is designed for senior professionals from across the financial services ecosystem who are leading on compliance, including:
- Chief Compliance Officers + compliance leaders
- In-house counsel at financial institutions
- Finance and operations executives
- Leaders responsible for fund governance, reporting, and cross-border structuring
- Professional advisors supporting alternative funds and institutional investors
- Attendance is capped to ensure meaningful interaction and peer-to-peer learning.
STRUCTURE
A half-day, senior-level forum crafted for compliance-focused leaders, featuring:
- Executive panels
A series of candid conversations with industry leaders on the themes outlined below. - Fireside chat
A focused discussion with an industry expert on an emerging topic in financial services. - Networking reception
Curated introductions and informal peer exchange among senior compliance, legal, finance, and advisory leaders.
THEMES + AGENDA
WELCOME AND OPENING REMARKS
Governance in a complex operating and regulatory landscape
- Generative AI and the financial services sector: Drivers + trends, use cases, and emerging compliance considerations
- Regulatory recalibration vs. global fragmentation
- Navigating the “culture as risk” mandate in financial services organizations
Resilience beyond the perimeter (cyber & third-party risk)
- Key drivers + trends at play in the digital risk landscape facing financial services organizations
- SEC cybersecurity disclosure rules: Incident reporting and risk management
- Dynamics of international and state-level data privacy laws and the push for federal legislation
- Third-party risk management: Vendor due diligence and ongoing monitoring
- Ransomware preparedness and regulatory expectations for recovery
The new paradigm for ESG
- Key national and international trends at play vis-a-vis ESG/Sustainability
- Regulatory disclosure rules and implementation strategies
- Climate risk integration in bank supervision and investment due diligence
- Addressing greenwashing: SEC enforcement trends and names rule compliance
- Voluntary frameworks versus mandatory requirements: Navigating the patchwork
Fireside chat: Market integrity in crypto and digital assets
- Key challenges & opportunities for FS institutions with the rise of digital assets
- Crypto custody, trading, and the SEC/CFTC jurisdictional debate
- National & international regulation and preparing for potential legislation
- Bank-fintech partnerships: Managing third-party and reputational risk
- Payment innovation and evolving regulatory expectations
Building the compliance function of tomorrow
- The evolving role of people, process and technology in driving compliance outcomes
- Elevating compliance from checkbox exercise to strategic partnership
- RegTech and the automation revolution in compliance
- Developing compliance talent in a competitive market
- Collaboration between GCs and CCOs: Best practices
- Proactive regulatory engagement and industry leadership
CLOSING REMARKS + NETWORKING RECEPTION
host sponsor
SPONSORSHIP
Partner with The Legal Innovation Forum to engage senior legal leaders and innovators shaping the future of the industry.
For inquiries, contact jacquie@adbinsights.com
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