Embedded Compliance as risk mitigation factor

Summary

Manual compliance tasks such as issuing text-based policies, offering compliance training, and conducting post-activity controls are still key aspects of many compliance risk frameworks in the financial industry.

Embedded compliance checks help to overcome these manual and error-prone compliance tasks.

In this event you will learn

• What is the concept of embedded compliance?
• How can financial institutions stay compliant?
• Which use cases can we learn from?

Presenters

Dr. Nadine Wachter: Head Global Market Access at Credit Suisse
Ralf Huber: Co-Founder at APIAX
moderated by Sandro Schmid.

Agenda

18:00 Opening (Sandro Schmid)
18:10 Concept of embedded compliance (Ralf Huber)
18:35 Use case demonstrations (Dr. Nadine Wachter)
19:00 Q&A
19:30 Networking drinks (all)
20:30 end

Chapter Event

In our chapter events – access for members only – we present one or more speakers to share knowledge, updates and best practices on a specific risk topic. In small groups of risk professionals you can exchange thoughts and test ideas. More on SRA chapters. This event is hosted by the chapter Digital Age – FinTech, AI and Cyber Risk.