April 2015 - Trends in IT regulatory and compliance matters in the banking and capital markets sector

Topic

Trends in IT regulatory and compliance matters in the banking and capital markets sector

The integration of IT risk into the broader Operational and Enterprise risk framework is imperative to meet the regulatory requirements being placed on financial institutions. During this session we will cover a current analysis of the banking and capital markets regulatory landscape and how information technology continues to be an area of focus for regulators. Topic areas will include regulatory focus on IT risk management, supplier risk management, lines of defense models, cybersecurity, fraud, business continuity management, and IT strategy.

Speaker(s)

Calvin A. Slegal II, CISA, CISSP, CIPP/US, CRISC, Senior Manager

Calvin is a Senior Manager with EY. He is a member of the IT Risk and Assurance Practice within the Financial Services Office. His eleven years of experience with EY includes Sarbanes-Oxley, IT general controls, IT risk management, process, risks and controls frameworks, third-party reporting (i.e., Service Organization Controls (SOC) /Attestation reporting), vendor risk management, information security, data privacy, disaster recovery, business continuity, and IT regulatory compliance. Calvin leads other internal and external-facing training events on integrated audit execution, SOC reporting and mainframe security, and is responsible for executive-level reporting for his clients.

Edward J Keck, Jr, MBA, CISSP, Senior Manager

Ed is a Senior Manager with EY. He is a member of the IT Risk and Assurance Practice within the Financial Services Office. Over the last twenty years he has worked in the areas of enterprise and operational risk, performance improvement, security, privacy, and information governance. He has extensive experience in risk and compliance program performance and development, regulatory reviews and post review remediation management, internal control testing, executive level reporting, and interpretation of regulatory changes. Ed is also well versed in implementing risk assessments, controls, and systems related to the European Union Data Protection Directive. Ed has a Master of Business Administration and is a frequent speaker at conferences.

Material

Presentation Material