Conduct, Compliance and Ethics in Capital Markets

During this interactive discussion MCO CEO Brian Fahey joins executives from FINRA, Northern Trust Corporation, and Coalition Greenwich to  discuss:

• The biggest challenges to implementing a predictive surveillance program
• The impact of ESG on measuring integrity and firm compliance
• Drivers for upgrading compliance and surveillance infrastructure to help understand the ROI

Speakers:

• Brian Fahey, CEO, MyComplianceOffice
• Kevin McPartland, Head of Research, Market Structure & Technology, Coalition Greenwich
• Stacey Bolton, SVP & Chief Risk Officer, Northern Trust Corporation
• Steven Polansky, Senior Director Member Supervision, FINRA