Panelist, "21st Century Surveillance and Communication Technology," SIFMA C&L Virtual Forum

Event Date(s): 07/21/2021

How are AI, Machine Learning, and Data analytics being used in Financial Services? Howard Kramer of our Broker-Dealer Advisory & Counseling Practice was a featured speaker at the SIFMA C&L Virtual Forum (July 20-22).

Mr. Kramer was a panelist on the July 21 program, "21st Century Surveillance and Communication Technology." Other speakers included Moderator John O’Neill, Executive Vice President and Chief Compliance Officer; Stephen Bard, Senior Vice President, WIM Director of Social Media & Communication Compliance, Wells Fargo Wealth & Investment Management; Chris Sherlock, Vice President – Surveillance & Data Analytics, Ameriprise Financial, Inc.; and Amy Watson, Managing Director, Federation Compliance and Executive Office Compliance, Goldman Sachs, Inc.

Mr. Kramer represents companies in securities regulatory law, with particular emphasis on broker-dealer, market structure and compliance matters.  In addition to providing advice, he also represents clients in regulatory investigations, inquiries and examinations. He is ranked in Band 1 for Financial Services Regulation: Broker-Dealer (Compliance) in Chambers USA 2021.

The 2021 C&L Virtual Forum, hosted by SIFMA’s Compliance & Legal Society, featured 23 live sessions over three days. In addition to the live sessions, attendees could participate in digital learning labs, virtual exhibit hall, lunch & learns and networking sessions with speakers and C&L Executive Committee Members.

Murphy & McGonigle served as a Silver Sponsor of the 2021 SIFMA C&L Virtual Forum.

21st Century Surveillance and Communication Technology

  • Changes to surveillance over the last year due to the remote work environment and evolving expectations
  • What are the key components of a great surveillance program?
  • How are Artificial Intelligence, Machine Learning and Data Analytics Tools being used in Financial Services?
  • Regulatory Guidance on Using Social Media
  • Recent Disciplinary Actions Involving Electronic Communications and Surveillance
  • Challenges with Supervision and Record Retention of Communication Apps
  • Managing Increasing Digitization in the Workplace

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