The knowledge platform for the financial technology industry
3 October, 2024



Hilton Canary Wharf, London


Where Innovation Meets Compliance


Registration & networking with sponsors


Opening and Welcome
Andrew Delaney, President and Chief Content Officer, A-Team Group


Regulator Keynote:


Panel: Adopting a holistic approach to regulatory change management

  • What does the regulatory landscape look like and how are firms keeping costs in check while managing constant change and regulatory complexity?
  • What are the best approaches for identifying and interpreting new regulatory obligations?
  • What are the greatest challenges and opportunities in achieving this?
  • How are firms approaching new regulations and are they looking to create new approaches to standardise regulatory change?
  • How should firms build the workflows and control frameworks for regulatory change?
  • How are firms leveraging AI and horizon scanning to simplify regulatory change management?

Keynote: Smarsh


Networking break with sponsors


Panel: EMIR Refit – Outstanding data challenges and improving data quality
Focusing on Article 9 trade reporting obligations

  • What are the challenging areas for EMIR Refit and how can these best be addressed?
  • How are firms managing the data issues (change in action/event types)?
  • How are firms managing trade repository communications with new ISO standards and mandated reporting of UPIs?
  • How are regulators using EMIR data?
  • What are the opportunities for harnessing AI to improve data quality, errors and reconciliation?

Keynote: How to build an agile and flexible reporting platform


Panel: EMIR Refit – Best practices for trade reporting

  • What are the pros and cons of outsourcing reporting and which approach is right for your organisation?
  • What are the best practice approaches for delegated reporting and control framework initiatives?
  • What are the key considerations when working with vendors and third parties; How to ensure appropriate oversight of vendors

Lunch and networking with sponsors


Keynote: Balancing the risks with the benefits of AI

  • What are the risks of AI?
  • What impact will regulatory measures have and how should firms prepare?

Panel: How to leverage Generative AI and Large Language Models for regulatory compliance

  • What is the potential of GenAI and LLMs in regulatory compliance?
  • What are the challenges raised by the technologies and best practice solutions
  • What are the practical considerations for the selection, implementation and optimisation of GenAI and LLM solutions?
  • What are the benefits of getting it right, penalties of getting it wrong?
  • Where next for GenAI and LLMs in regulatory compliance?

Panel: Best practices for eComms and multi-channel surveillance

  • What are the current challenges in eComms and multi-channel communications surveillance?
  • What best practice approaches can firms take to overcome these challenges
  • Should firms be building, buying or developing hybrid solutions?
  • What are the operational and business benefits of getting this right and the penalties of getting it wrong?
  • What is the outlook for eComms and multi-channel surveillance and regulation and how can firms prepare for this?

Afternoon break and networking with sponsors


Fireside Chat: MiFIR Review – Progress around the Consolidated Tape


Panel: Navigating the evolving post trade landscape – Impact of T+1 Settlement

  • What are the lessons learned from US implementation?
  • What is the impact for the global industry of moving to T+1 Settlement?
  • What are the operational challenges of moving to a shortened settlement cycle and what do firms need to do to prepare?
  • How can automation and innovative technologies help improve post trade processes and workflows?
  • What are the expected benefits for firms of moving to T+1 and what does the future look like?

Networking drinks



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