Compliance team member performing annual review

Regulating a (R)evolution: Signals from the SEC on Critical Rule and Regulation Changes

The evolving regulatory landscape continues to create new challenges for firms of all sizes. Anticipating and preparing for upcoming SEC rules and regulation changes requires an adept ability to accelerate new projects and priorities at a moments notice. In this webinar, we will dive into our predictions for the upcoming SEC agenda and ancillary regulatory changes, giving attendees a look into the implications for their compliance teams…and how they can prepare for whatever comes next.

This webinar will cover:

  • SEC regulations and rulings, what we predict will take priority in the forthcoming SEC agenda given recent announcements and rulings
  • What firms can do to prepare for enhanced regulations and the associated scrutiny of existing policies and procedures
  • A deep dive into key areas including Cryptocurrency, Cybersecurity, Insider Trading, and Political Contributions

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Speakers

Amy Kadomatsu

Amy Kadomatsu

ComplySci

Chief Executive Officer

Amy joined ComplySci as Chief Operating Officer in 2018 and was named President in December 2019 and Chief Executive Officer in October of 2020. She is responsible for the overall strategic direction of the company and execution of it’s mission.
A serial entrepreneur, Amy was the co-founder of Instabot, an enterprise chatbot platform that allows marketers to engage and convert their users through conversational bots. Amy was also the President of ROKO Labs, a product strategy and technology consultancy that works with global companies and VC-backed startups to accelerate their businesses and deliver award-winning experiences. She remains on ROKO Labs’ board.
Amy also has substantial FinTech experience. Previously Amy was a Managing Director at S&P Global, a Fortune 500 company. Prior to that, Amy was Chief Product Officer at the TheMarkets.com, a consortium of the largest financial services firms including Goldman Sachs, Morgan Stanley and Citi, which was acquired by S&P Capital IQ for $300M.
Passionate about innovation, entrepreneurship and diversity, Amy is an angel investor with HBS NY Angels, an advisor to start-ups, and serves as Co-Board Chair for MOUSE, a national nonprofit bringing coding curriculum and STEM programs to underserved youth. Since 2006, Amy has sponsored a scholarship for a deserving rising college student who excels in a Japanese cultural activity in honor of her dance teacher (yes, her sensei).

Mike Phillips

Mike Phillips

illumis, a ComplySci Company

President

Mike Phillips leads illumis, a ComplySci Company. Mike founded illumis in 2015 and led its growth into the leading platform for pay-to-play regulatory compliance through its acquisition by ComplySci in 2021. As President of illumis, Mike leads the team’s continued product development and innovation, and helps support the broad range of customers relying upon illumis’s data products.
Prior to illumis, Mike led Tenacity Strategies, a boutique crisis communications and strategic communications firm he founded, where he helped advise leading political figures, organizations, companies and nonprofits on some of their most difficult challenges. He previously served as a senior advisor and staffer for a decade on political and issue campaigns around the country.

Stan Yakoff

Stan Yakoff

Head of Americas Supervision, Citadel Securities

Adjunct Law Professor, Fordham Law School

Stan is the Head of Americas Supervision at Citadel Securities where he covers the Equities, Futures, and ETF businesses, systematic trading, and trading technology. Stan is also an Adjunct Professor of Law at Fordham University School of Law teaching Trading, Risk Management & Market Structure Regulation. Stan previously was a Compliance Officer at Marshall Wace North America L.P. where he specialized in Quantitative Compliance and helped build the core US compliance program and scaled globally to EMEA and APAC. Prior to that he worked at Knight Capital Group focusing on algorithmic trading, market structure, and surveillance. He holds a J.D. in Law from Fordham University School of Law where he was an Associate Editor on the Journal of Corporate & Financial Law, and additionally holds an M.Eng. in Engineering Management, M.S. in Pharmaceutical Manufacturing Engineering, and M.A. in Technology, Policy & Ethics from Stevens Institute of Technology. Stan is Certified in Risk and Information Systems Control (“CRISC”), a Certified Data Privacy Solutions Engineer (“CDPSE”) and is also a Certified Fraud Examiner (“CFE”). Stan lectures and publishes on topics including FinTech, RegTech, market structure, alternative data, artificial intelligence, regulatory and enforcement matters, surveillance, cybersecurity, data privacy, and risk management.