Regulatory decision-making: from reactive remediation to preventative controls

By embedding regulatory controls earlier in the trade lifecycle, a “shift left” approach, firms can materially reduce downstream remediation, reconciliation, and reporting inefficiencies. This panel will challenge the status quo of siloed processes and fragmented controls, encouraging attendees to consider: how can firms move beyond improving reconciliation and remediation to preventing errors entirely? How can upstream regulatory controls strengthen downstream efficiency, including reporting? How can firms avoid resolving the same issues repeatedly across multiple regulations? And what broader benefits can firms unlock by bringing controls to the forefront?