STREAM A: Regulatory operations transformation: Unifying data, AI and controls for regulatory reporting

STREAM B: AI for financial crime and surveillance

Keynote use case:

Keynote use case:

Panel: Unifying data, standards and AI for data consistency

• How does an AIDQ engine move beyond simple rule validation to ensure consistency across disparate systems?
• What are the architectural trade-offs between a centralised data repository and a virtualised single source of truth?
• How can firms use the Common Domain Model as an internal blueprint to reduce long term compliance costs?
• What governance structures are essential to maintain the quality and accuracy of UPI and LEI identifiers?
• What are the best methods for using transformation layers to align fragmented legacy data with global standards?
• How does maintaining a consistent Client Master record prevent reporting errors across mandates like MiFID and SFTR?

Dawd Haque, Market Initiatives, Regulatory Transformation & Strategy | Investment Bank, Deutsche Bank

Panel: The new onboarding gate: Perpetual KYC and AI-driven identity assurance

• Continuous Risk Profiling: How does perpetual KYC (pKYC) replace periodic reviews to create living risk profiles that adapt to ownership changes in real-time?
• The Synthetic Identity Threat: How are AI-powered biometric and document verification tools evolving to detect sophisticated deepfakes during digital onboarding?
• Entity Resolution & UBO: What are the best practices for using graph analytics to unmask Ultimate Beneficial Owners (UBO) across complex, global corporate structures?
• Reducing Onboarding Friction: How can Generative AI automate the collection and summarisation of due diligence data without compromising on rigorous AML standards?
• Adopting Perpetual KYC (pKYC): What are the data infrastructure requirements for moving from a static document-based approach to an API-led, event-driven KYC model?
• High-Risk Jurisdictions: How can automated screening tools manage the complexity of diverging global sanctions and PEP lists in near real-time?

Panel: Building the agile architecture for real time reporting

• What is the modern calculus for choosing cloud-based managed services over maintaining in-house reporting engines?
• How can firms use APIs to ensure resilient data submission and manage external connections effectively?
• How do low code platforms empower operations teams to implement rule changes without lengthy IT development?
• What are the primary security and resilience considerations when migrating reporting infrastructure to the public cloud?
• How should firms conduct vendor due diligence to manage concentration risk and ensure operational resilience?
• Which architectural components are necessary to support high volume reporting for near real time mandates?

Nilesh Khatri, Former Director, Macquarie Bank

Panel: The Surveillance arms race: AI-driven trade and market abuse detection

• Beyond Rule-Based Alerts: How do machine learning models identify subtle layering or spoofing patterns that traditional static thresholds consistently miss?
• Contextual Trade Surveillance: How can firms integrate market news and social media sentiment (e.g., StockPulse) to provide the “intent” behind a suspicious trade?
• Cross-Asset & Cross-Border Monitoring: What are the technical challenges of unifying surveillance across fragmented asset classes to detect sophisticated, multi-leg market abuse?
• Explainable AI (XAI) for Regulators: How can compliance teams show the working of a complex ML model when a regulator asks why a specific trade was (or wasn’t) flagged?
• Reducing Alert Fatigue: What strategies are most effective for using AI to triage alerts, allowing human investigators to focus on high-risk, high-probability cases?
• TBML & Trade Finance: How is AI being used to detect Trade-Based Money Laundering by identifying cargo anomalies and vessel behavior deviations?

Jason Shiu, Compliance Manager, Surveillance, Vanguard Asset Management Ltd