Case Study #1 - The Platform Migration: Rebuilding Operation from the Group Up.
Making the decision to migrate your operations platform is one of the boldest moves ahead of operations can make. It takes conviction, careful planning, and a team that supports and trusts your leadership through an extended period of disruption. The firms that have done this well-built something lasting — and the lessons they carry are exactly what this room needs and wants to hear.
Your Story — A Guide for Presenters
- What was the moment you knew your legacy system could no longer take you where you needed to go?
Help the room understand the business pressure and the internal conversations that led to the decision. Who else was involved? What did it take to get alignment?
- How did you structure the project to keep compliance, operations, and technology working together — not against each other?
Governance is where migrations succeed or fail. What worked, and what would you set up differently from day one?
- What did you learn about meeting SEC Books & Records and FINRA Business Continuity requirements during an active migration?
Regulatory checkpoints are often underestimated in migration planning. Share what you built and what you wish you had built earlier and any other lessons learned.
- Where did the plan break down, and how did your team respond?
This is the part of the story that helps people the most. The room will leave better prepared because you are willing to share what did not go as expected and how you recovered.
- What does your operations look like on the other side — and what would you tell a peer who is about to start this journey?
Close with the outcome and the advice. What is genuinely better, and what is the one thing you want every person in this room to know before they begin this journey?
Regulatory Context SEC Rule 17a-4 · FINRA Rule 4370 · SEC Regulation S-P
Presented By Head of Operations — Identity Withheld