Now in its eighth year, A-Team Group’s RegTech Summit (London) returns on October 3 to London at the Hilton, Canary Wharf, bringing together industry practitioners, innovators and regulators to share insights on the most pressing regulatory changes and trends shaping the future of capital markets.
Prepare yourself for a full day of dynamic discussions and insightful presentations, where industry leaders from compliance and regulatory technology will tackle the hottest regulatory compliance challenges facing the industry today. The agenda covers a wide range of major topics, from the digital transformation and data collection strategies at the Bank of England to the latest advancements in artificial intelligence and machine learning for regulatory compliance.
Regulator Keynote
The day’s proceedings begin with a Keynote from James Benford, Executive Director for Data & Analytics Transformation and Chief Data Officer at the Bank of England.The Bank of England and the Financial Conduct Authority (FCA) recently outlined their future strategy and industry recommendations for the joint transformation programme, which aims to enhance regulatory data collection and reporting.
Over the next 18 months, the Bank and FCA will focus on five key outcomes: aligning data collections with regulatory needs, improving internal processes, streamlining regulatory obligations, ensuring clear data definitions, and developing modern systems to support data collections. This effort will build on the industry’s input and previous learnings from the transformation programme, and leverage new opportunities presented by the UK’s departure from the EU.
To further these goals, the Bank and FCA have introduced new governance structures, effective from April 2024, comprising the TDC Advisory Board and the Industry Data Standards Committee (IDSC).
“The Bank of England’s data collections are essential for our work to maintain monetary and financial stability. We also recognise they place significant reporting obligations across the financial sector,” notes Benford. “That’s why we are working hard to transform how we collect regulatory data and produce statistics to make sure end users get the right data at the lowest possible cost. In my keynote speech, I will update on our work and our exciting forward agenda.”
Regulatory Change Management
The next panel focuses on the tools, techniques and best practices leading firms are deploying to manage regulatory change.
Learn about the best approaches for identifying and interpreting new regulatory obligations and the unique challenges these represent. Discover best practices for designing workflows and control frameworks and understand the role of a risk control matrix in an interconnected governance risk compliance (GRC) ecosystem.
“As we navigate an increasingly complex regulatory landscape, it’s crucial that firms adopt a proactive, holistic approach to regulatory change management. Leveraging AI-driven solutions with a Human-in-the-Loop (HITL) approach allows for more efficient identification and interpretation of new regulatory obligations, ensuring that expert oversight refines automated processes. This combination enhances the accuracy of workflows and control frameworks,” says panelist Daniele Cordioli, Head of Solutions Consulting EMEA at expert.ai. “The ability to standardize regulatory processes and utilize horizon scanning technology opens up new opportunities for compliance teams to mitigate risks and drive innovation in governance.”
The AI Ripple Effect
Next, Shaun Hurst, EMEA Principal Regulatory Advisor at Smarsh, will present a keynote on the transformative impact of AI in the financial sector. This session will examine how generative AI (GenAI) and large language models (LLMs) are revolutionizing compliance frameworks and driving a paradigm shift in regulatory process management. Attendees will hear about AI’s potential to redefine cybersecurity, data infrastructure, and human-computer interactions, offering new opportunities to stay ahead in a competitive landscape. Gain insights into how AI-driven advancements can foster innovation and enhance operational efficiency across the financial sector. Shaun will provide a comprehensive overview of the latest AI trends shaping the future of finance.
“Generative AI and LLMs are not just tools for compliance; they’re catalysts for a paradigm shift in how we approach regulatory challenges,” says Hurst. “The question isn’t if we should integrate AI into compliance, but how we can do so responsibly and effectively to stay ahead in an ever-evolving regulatory landscape.”
MiFIR and the Consolidated Tape
The next session will provide an in-depth overview of the latest updates, the challenges in developing the consolidated tape under MiFIR, and its potential impact on market transparency. Attendees will gain an understanding of the expected industry benefits of the consolidated tape and the timeline for its full implementation.
This session will be moderated by Matthew Coupe, EMEA Co-Chair of FIX Trading Community in a fireside chat with Scott Charity, Senior Market Intelligence Specialist & Regulatory Affairs at Berenberg.
EMIR Refit
The first panel after the morning networking break will focus on lessons learned from the EMIR Refit. Moderated by Chad Giussani, Independent Advisor, this panel brings together experts from compliance, trade and transaction reporting and global standards.
“Addressing the requirements of EMIR Refit may be driven by regulation compliance, but with its emphasis on high quality, granular data, firms have an opportunity to assess how this data and its management can drive and support their strategic goals,” comments Kalliomaki, Managing Director, Derivatives Service Bureau (DSB). “The use of ISO standards is a primary example of where firms can leverage datasets and streamline processes to ensure data alignment and harmonisation both internally and for external data flows.”
Fireside Chat
The morning session will wrap-up with a fireside chat with John de Freitas, Director at ACA Aponix, moderated by Andrew Delaney, President & Chief Content Officer at A-Team Group The discussion will explore the rapidly evolving cybersecurity landscape and its intersection with regulatory requirements.
The discussion will explore the internal and external threats posing the greatest risks to financial institutions, and the strategies firms must adopt to safeguard against these threats. The discussion will delve into how organizations can balance the need for robust security with the demands of evolving compliance mandates, particularly as cloud migration continues to grow.
John de Freitas will share valuable perspectives on maintaining secure cloud environments and upholding data privacy and security standards necessary for cloud compliance. This session will explore the opportunities and challenges presented by cutting-edge technologies like AI and zero trust architectures to combat cybersecurity threats
Preparing for DORA
Following lunch and extended networking break, the afternoon session gets underway with a keynote from Adrian Whelan, Managing Director of Investment Services at Brown Brothers Harriman who will provide an in-depth review of the Digital Operational Resilience Act (DORA). This keynote will cover the key regulatory requirements for financial institutions and vendors. Attendees will get an understanding of where the costs are, and the implications of the new Third Party Risk Management (TPRM) requirements under DORA. Learn about the benefits of achieving DORA compliance and the penalties for failing to comply and come away with new knowledge and insights to navigate this significant regulatory change.
Leveraging Generative AI and LLMs
The next panel dives deep into GenAI and LLM examining the primary use cases for Gen AI/LLMs in regulatory compliance. Attendees will learn how firms can evaluate the limitations of Gen AI/LLMs in compliance paying particular attention to data quality/availability, model interpretability, potential biases and cost (carbon footprint).
The panel will explore the regulatory and ethical concerns that GenAI and LLMs raise and how these are best addressed along with the right mix of skills and talent for successful integration of GenAI in compliance. This session will conclude with a review of the potential benefits of Gen AI/LLMs and how disruptive could this be for GRC.
Communications Surveillance
Our next panel begins with the big question: After several years and billions of pounds in fines later, why does communication surveillance technology and compliance continue to be such a challenge for firms?
The discussion will focus on how comms compliance obligations have developed over time and how firms can identify potential blindspots including how regulatory impressions towards RegTech have evolved or changed, especially with regulations like the recent EU AI Act.
“Solving the underlying data capture problem is fundamental for firms to be able to effectively surveil today’s unified communications, where audio, text, and visuals blend seamlessly in platforms like Microsoft Teams or Zoom,” says panelist Stacey English, Director of Regulatory Intelligence, Theta Lake. “Without unified data, surveillance is hindered by disjointed, siloed information that fails to capture the complete communication picture.
Impact of T+1 Settlement
The final session of the day will focus on the lessons learned from US T+1 implementation and the implications for shortened settlement cycles globally. As part of the Central Securities Depository Regulation (CSDR) Refit, ESMA is due to submit its report on T+1 to the European Parliament and the Council at the latest by mid-January 2025. The panel will address the key operational challenges of moving to a shortened settlement cycle and what should firms be doing to prepare. Automation and innovative technologies are critical in moving to a shortened settlement cycle.
After the concluding session, delegates will have the chance to connect and network with their peers over drinks. As space is limited, we encourage early registration to secure your spot, use the form below.
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