Di Florio, a former director of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations details how regulators’ increasing use of regtech is transforming their supervisory relationships and exam experience with broker-dealers and advisors.
Listen in as di Florio also talks about how regulators are deploying technology and data analytics to identify needles in the regulatory haystack and also how the transition from the London Interbank Offered Rate, or Libor, poses a significant compliance risk.
— More Human Capital Podcasts:
- Brian Hamburger Details Critical Aspects of SEC’s 2020 Exam Priorities
- Compliance Guru Todd Cipperman Breaks Down SEC’s New Ad Rule
- Norm Champ, Ex-SEC IM Director, Takes on Financial Literacy
- Ric Edelman on Social Security Crisis, SEC’s Crypto Fail
- CFP Board’s Keller Gets Blunt on New Ethics Standards, Reg BI