Ask the Regulator Anything
Jul. 28, 2023
12:00 P.M. - 1:00 P.M.
Organizer: Stephen Sargeant
Role: Speaker
Description:
The event was moderated by Stephen Sargeant. Many probing questions asked about regulatory perspective on development of an AML program, best practice for a regulatory inspection, and much more. As a past regulatory function as Registrar of the Financial Services Commission and providing guidance to the board and senior management of financial institutions, I, Shelly Forde, am well positioned to balance responses between expectations of a regulator and limitations of the private sector. Both are seeking to be compliant but have very different objectives. It was a great session.