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2017 is proving to be a year in which RegTech gains prominence and emerges from the shadow of FinTech. The sector is brimming with innovative ideas that can help regulated firms address regulatory requirements in an efficient and cost effective way. But how good is this technology and can it live up to expectations? RegTech has the potential to help firms to price and quantify the risks around a firm having a poor culture, and technology might be able to solve problems of capturing qualitative concepts, such as behaviour and culture, and embedding these in to a firm’s operational/conduct risk model.
In this webinar, Jane Walshe of Enforcd is joined by Mathias Wegmueller, Co-founder and Head of Business Development, Qumram, and Wendy Jephson, Co-Founder & Chief Behavioral Scientist at Sybenetix to discuss what RegTech can do, and also possible pitfalls to be avoided in its use.
Jane Walshe is co-founder and CEO of Enforcd, a RegTech start up that is on the Bank of England’s FinTech Accelerator. Jane is a Chartered Fellow of the CISI, and a financial services regulatory barrister who previously worked in the FCA’s Enforcement Division, in house at JP Morgan, and as a consultant at Simmons & Simmons. She is the Editor, with Norton Rose, of ‘Individual Conduct in Financial Services Firms’ – a practitioner guide published by Sweet & Maxwell. Enforcd enables firms to identify, manage and mitigate conduct risk, share best practice and avoid the mistakes for the past.
Wendy Jephson is a business psychologist who models the human biases, heuristics and conduct behind decision-making skill into Sybenetix’s Enterprise Behavioral Analytics. Sybenetix software enables financial institutions to deliver higher returns and comply with growing regulation.
She leads a unique team of experts in technology, behavioral science and finance that brings diverse thinking and cross-industry experience to help solve some of the biggest challenges in financial services; how to systematically measure and manage behavior across the organization. Proprietary behavioral algorithms analyze exactly how investment professionals make decisions using multiple sources of data to build unique behavioral profiles that are used to make more skilful decisions and manage conduct risk.
Mathias Wegmueller is a highly accomplished entrepreneur and digital transformation advisor. He has specialist experience working with mid- to large-sized businesses, facilitating the effective execution of digital engagement initiatives. A passionate, action-oriented and motivational team leader, Mathias Co-founded Qumram in 2011, and is responsible for business development and sales.
Qumram enables every digital interaction – web, social, mobile – to be recorded and replayed, on demand, providing a complete digital audit trail for financial services organizations, in accordance with global regulatory requirements: SEC, DOL, MIFID-II, FINRA, ESMA, FFSA, FIDLEG, and more. Qumram also facilitates fraud detection (monitoring digital behavior of employees as well as interactions from external sources), and delivers deep customer insight for customer experience analytics.
This webinar will feature a 30-minute presentation followed by a Q&A session.
See the Webinar recording here:
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