Please join us June 13th for the Sterling Financial Services Summit: Human Capital and Compliance – Bridging the Gap.

This afternoon thought leadership session is intended for executives in Human Resources, Talent Acquisition and Compliance at Financial Services firms. We will engage in interactive discussions with industry peers covering a range of topics including GDPR, hiring and monitoring due diligence.

Our featured speaker, Former FINRA Chief of Enforcement, J. Bradley Bennett, now a Partner in the White Collar practice at Baker Botts, will discuss the surge in investigations and formal disciplinary actions for violations of federal securities laws, and best practices in hiring and monitoring can help you mitigate risks.

Wednesday, June 13, 2018
12:30 – 5:00 PM, Networking Reception to follow
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Grand Hyatt New York
109 E 42nd Street
New York, NY 10017
Regency Room


12:30 – 1:30 Registration & Lunch
1:30 – 1:40 Welcome & Introductions
1:40 – 2:20 Data Privacy Panel – Demonstrating GDPR Compliance
2:20 – 3:00 From here to where? Bridging the gap between Human Capital and Compliance
3:00 – 3:15 Break
3:15 – 4:00 Beyond background screening – hiring due diligence
4:00 – 4:45 Know your employee – ongoing rep and disclosure monitoring, Fireside Chat with Brad Bennett
4:45 – 5:00 Closing Remarks
5:00 – 6:00 Networking Reception

If you require hotel accommodations or have any special dietary needs, please contact Barbara Siminerio on 646-435-2263 or