Jenner & Block

“Data Analytics and Financial Services Compliance Programs,” Practising Law Institute’s Financial Services RegTech and Regulatory Compliance Forum 2019

On November 21, Jenner & Block Partner Charles D. Riely will be a panelist at PLI’s Financial Services RegTech and Regulatory Compliance Forum 2019.  During the event, practitioners and regulators will review the major regulations and current examination and enforcement actions in the financial services industry.  Mr. Riely’s panel, “Data Analytics and Financial Services Compliance Programs,” will address the uses of risk analysis, the role of big data and practical implications for exam programs.  His segment begins at 1:00 pm ET at PLI’s headquarters in New York City.

Mr. Riely is a partner in the Investigations, Compliance and Defense Practice.  As a lawyer at the SEC for more than a decade, he handled a number of significant matters, working extensively with criminal authorities in parallel investigations, and developing deep experience in all aspects of the federal securities laws.  Among other matters, he worked on investigations and enforcement cases involving broker dealers’ obligations under the Securities and Exchange Act of 1934 to file suspicious activity reports (FinCEN).   He also handled matters involving “spoofing” and other forms of market manipulation and the adequacy of firms’ cyber-security procedures and protections.

To learn more and register to attend, please click here.