Financial Sector Regulatory and Compliance Seminar


Event Report

Mr. Haruhiko (Harry) Saito, CEO and Managing Director, TIC K.K.

Mr. Saito discussed the following topics: (1) recent regulatory dynamics; (2) new areas of focus and the regulatory intent; (3) major expectations on internal controls and key determinants of regulatory sanctions; and (4) practical measures for IBA member firms in dealing with regulators. The content was practical, covering recent regulatory concerning areas such as information controls, management of outsourced services and IT risk management.

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