Hot on the heels of A-Team Group’s London RegTech, RegTech Summit New York lands on 20 November with regulators’ perspectives on artificial intelligence (AI), deep dive panel discussions on agentic AI in compliance workflows, best practices for streamlined and agile regulatory reporting, Navigating Crypto and Digital Assets with RegTech, and more.
The New York agenda extends London’s core messages around trusted identifiers, embedded validation, and explainable automation. The “data backbone of defence” panel focused on how reference data underpins next-generation monitoring, while a fireside on crypto and digital assets examined how emerging standards like the Digital Token Identifier (DTI,) complement ISINs and UPIs. The through-line is consistent: open standards, regulatory data management and AI adoption in compliance processes.From London to New York
The consensus coming out of the London summit was one of cautious optimism. Digital transformation initiatives like the ISDA Common Domain Model (CDM), and Digital Regulatory Reporting (DRR) are redefining the regulatory reporting playbook. In the future, reporting will viewed as “a by-product of good data management rather than a compliance fire drill.”
New York Agenda: “Regulator Keynote: A Regulator’s Perspective on AI”
This keynote will examine how regulators are shaping the path toward responsible AI adoption – assessing whether today’s frameworks provide enough clarity and where further guidance may be needed. The keynote will explore how supervisory bodies are investing in data and technology to support digital markets, and what priorities firms should focus on as they build compliant, accountable AI strategies that align innovation with oversight.
AI as Augmentation
Artificial intelligence drew intense interest in London, tempered by realism. “AI can’t compensate for poor foundations,” one source warned. Consensus held that AI belongs above the Digital Regulatory Reporting (DRR) and CDM layers – providing pattern recognition and quality-assurance insight, rather than replacing data governance.Another speaker described the near-term role for AI as “applied insight” rather than autonomy, citing regulatory caution and data-sovereignty limits. AI is useful for spotting anomalies but not yet trusted to explain them unaided.
New York Panel: “Navigating the Frontier of Agentic AI in RegTech”
The first panel will advance the conversation by exploring how agentic AI can be responsibly embedded within compliance workflows. Building on London’s “augmentation over automation” stance, it will examine where the technology offers the greatest practical value, the data management foundations it demands, and the governance frameworks needed to keep autonomy under control. Speakers will tackle the “black box” challenge – how to ensure explainability, accountability, and proactive engagement with regulators as AI takes a more active role in compliance.
“With the use of more communications channels, including audio and video, agentic AI can really make a difference for compliance teams in reviewing all forms of content to help ensure compliance with regulations.” Vall Herard, Co-Founder and CEO, SAIFR
“From a governance and control perspective, assessment of these new AI technologies are simplified by common standards such as ISO 42001 for AI Management Systems, which provide consistent, independent, third-party validation of the innovative platforms that are quickly becoming critical workplace applications for compliance officers.” Marc Gilman, General Counsel and VP of Compliance, Theta Lake
Digital-Asset Reporting
While regulator-node “pull” models could streamline submissions, participants warned that Distributed Ledger Technologies (DLT) alone cannot fix data quality. “Moving to blockchain won’t fix data quality,” noted one panelist, “garbage in is still garbage out!” The Digital Token Identifier (DTI) was highlighted as complementary to ISINs and UPIs for tokenised markets.
New York Panel: “Keynote Fireside Chat – Navigating Crypto and Digital Assets with RegTech”
This session will explore how regulators and market participants are addressing the next frontier of digital finance – from evolving rules on crypto and stablecoins to the practical use of AI in monitoring and fraud prevention. It will examine how supervisory approaches and data strategies are adapting to manage risk in high-volume digital-asset markets, and how RegTech innovation is helping traditional finance bridge into this new ecosystem. The discussion continues London’s message that effective governance, transparency, and shared standards remain the foundation for responsible adoption.
Low-Touch Controls
The London panel noted that whilst automation of regulatory report submission is largely complete, automation of controls is not. One participant summarised the shift: “The hard part isn’t sending the file – it’s catching and correcting what comes back.” Speakers highlighted the FCA NextGen Reporting and Digital Regulatory Reporting (DRR) initiatives as examples of embedding validation logic into process flows – a radical improvement over labour intensive manual checking.
New York Panel: “The End of Manual Compliance? How to Build, Govern and Trust an AI Driven Regulatory Change Programme”
This panel will move beyond horizon scanning to examine how firms are teaching AI to interpret and operationalise regulation. Discussion will focus on how agentic and generative models can map new, unstructured regulatory text to internal controls, policies, and procedures – transforming change management into a continuous, data-driven process. Speakers will explore what a robust governance framework looks like for safely embedding AI into the regulatory lifecycle, and how to build the foundational data libraries that make compliance obligations machine-readable and auditable. The session will also consider how the compliance officer’s role is evolving, with new skills, training, and cross-disciplinary collaboration required to manage transparency, accountability, and oversight in an AI-enabled world.
Standards First
London’s experts agreed that legacy fragmentation and data silos remain the chief obstacles to progress. Firms are still burdened by multiple data centres and inconsistent transformation logic. “You can’t automate bad data,” cautioned one speaker, adding that regulators are now “driving harmonisation faster than firms can fund it.”
The discussion centred on international identifiers – the Unique Product Identifier (UPI) and Legal Entity Identifier (LEI) – and their role in enforcing a golden source of reference data. By anchoring reporting to ISO-governed standards, institutions can reduce reconciliation effort and strengthen transparency.
“Leveraging international standards is fundamental to driving efficient, harmonised, and transparent markets. Through collaborative governance and inbuilt validation, they enable consistent interpretation and improve data quality which is critical for informed and timely decision-making by both authorities and market participants.” Emma Kalliomaki, Managing Director, Derivative Service Bureau
New York Panel: “Best Practices for Streamlined and Agile Regulatory Reporting”
The corresponding New York session will take the standards-first message further, tackling what a truly unified data strategy for reporting looks like in practice. Speakers will explore the balance between ambition and reality in achieving “no-touch” automation, and the technologies that make genuine end-to-end data lineage possible – from automated validation and metadata tracking to proactive quality management. The discussion also turns to how cloud-based, SaaS architectures can accelerate regulatory change cycles, how regulatory data can shift from cost centre to business asset, and where AI and machine learning can deliver the greatest impact in reporting efficiency and insight.
Governance and Change Discipline
“Knowing where your data comes from,” observed a speaker, “is the single most important control a regulator could ask for.” London’s panel underscored the use of authoritative sources such as the Derivatives Service Bureau (DSB) and the Association of National Numbering Agencies (ANNA) to preserve auditability and reduce in-house mapping. The theme was simple: transparency begins with lineage that regulators can trace.
Despite progress on international standards, jurisdictional variations need to be accounted for. “We’re heading for global standards but local execution,” said one speaker. The London panel supported scheduled regulatory change windows to manage overlapping rule updates and reduce implementation volatility – a move regulators such as the FCA have already signalled through planned half-yearly release cycles.
New York Panel: “The Data Backbone of Defence – Powering Next Generation Surveillance”
Governance themes re-emerge through New York’s deep dive into what a unified data strategy for reporting really means – moving beyond silos toward cloud-enabled agility and transparent, end-to-end lineage. Discussions will examine how firms are embedding automated validation, metadata tracking, and proactive data-quality management into daily workflows, while exploring where AI and machine learning can deliver the greatest operational impact. The focus shifts from compliance cost to business value – turning reporting data into a strategic asset.
Champagne Roundtable Sessions
Champagne Roundtable Sessions will round off the New York day – bringing the same energy, and insight that made them a hit at the recent London event. Join senior peers and RegTech leaders for lively, small-group discussions on AI, data standards, regulatory reporting, and compliance transformation.
Seats are deliberately limited to keep conversations focused. Check out the agenda for more details and register HERE.
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