Publications & Presentations
October 30, 2018

NSCP National Conference
October 29 - 31, 2018 | Atlanta

Polsinelli is proud to announce that Richard B. Levin, chair of the firm's Financial Technology (FinTech) and Regulation practice, is a featured speaker at the 2108 National Society of Compliance Professionals (NSCP) 2018 National Conference. The conference brings together thought leaders in the Financial, Technology and Legal industries for three days of panels, continuing education and discussions on current and upcoming events impacting the FinTech industry.



FinTech and Technology Governance
October 30, 2018 | 9:50 - 11:05 AM
Co-Presented by: Richard B. Levin

The emergence of new FinTech solutions has contributed to the rapid change of technology systems, disruption and speed to market. This panel will focus on the perspectives of the regulator (FINRA), the CCO and the technology vendor regarding the risk of information and technology change management policies and procedures. This session will also discuss best practice policies, procedures and strong controls for system changes to help your compliance program mitigate risk. This session is open to regulators and members of the press.

Learning Objectives:

  • Explore regulatory requirements for technology governance and emerging FinTech and regulatory trends
  • Assess how customer service and regulatory issues may result from operational breakdowns because of new technology implementations
  • Discuss how inaccurate, incomplete, untested or unauthorized changes to production environments threaten system outages and data inaccuracies for clients and the markets
  • Navigate how these issues have significant impacts to data integrity and customer protection


More information on the conference is available here