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In 2022 Wall Street firms faced a staggering $2 billion in fines. The SEC and CFTC remain resolute in their actions with Wall Street firms now facing fines totaling $549 million.

This ruling underscores the pressing need for continued efforts to address underlying issues and establish comprehensive solutions. To that end, Independent Compliance Consultants will assess policies, procedures, and technological approaches for data capture and monitoring.

Join us in NYC, where industry experts unveil insights on how leading firms proactively navigate the ever-evolving landscape. Explore actual notices on Policies, Capture, Surveillance, Internal Enforcement, and External Reporting, and seize this opportunity to secure your compliance future.

What will you gain from the roundtable:

  1. Costly Consequences of Neglect: Understand the steep financial penalties and reputational damage that result from inaction and non-compliance, as exemplified by recent $549 million in fines.
  2. Vital Monitoring and Compliance: Discover the necessity of robust monitoring systems to prevent unauthorized channels and ensure compliance, and learn about cutting-edge tools and techniques employed by leading firms.
  3. Strategies for Resilience: Gain actionable insights into fortifying systems, securing communications, and maintaining a strong reputation from industry leaders, equipping your firm to proactively mitigate compliance risks and costly fines. Join us in NYC to learn, network, and strengthen your firm’s compliance practices.

Behavox roundtables are in-person only, governed by Chatham House rules. No video or audio recording is permitted.

Participants will also be able to network with industry experts in Compliance, Data Science and Security.



September 26, 2023


3:00PM – 5:30PM EST


IBM Watson Astor Place
51 Astor Pl.
New York, NY 10003

Time Overview
3:00PM Welcome
3:30PM Roundtable
4:30PM Reception

This invitation does not constitute gifts/entertainment and there is no entrance fee and no preparation required. Should you have additional questions or are unable to register online, please reply to [email protected] and a member of our team will be happy to assist you.

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