Matt Bankston, CFP®
Director of Product and Platform Operations 
RSM US WEALTH MANAGEMENT LLC 
Minneapolis, Minnesota

Amidst the rising number and increasing complexity of new regulation, wealth management companies around the globe are left scrambling to keep up with changes in order to minimize risk, and guarantee compliance at the lowest cost and with the lowest operational impact. In this session Matt will be discussing the following: 

• Discover the impact that technology is having on operations and investment activities.
• Investment Operations vs. Trust/ Custody Operations, what’s the  difference?
• Learn what compliance professionals and regulators need to know regarding the activities of an investment operations department.
• Reporting challenges and the uses of technology in regulatory reporting for RC-T, 13F and ADV reporting.
• Proxies
• Trade Monitoring and Processing
• Technology’s role in investment related activity monitoring and compliance with Reg 9