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Enabling Innovation in Regulatory Compliance

Convene - Financial District New York City

14th November 2019




Registration and Networking over Coffee


Chair’s Opening address Andrew Delaney, Chief Content Officer, A-Team Group


Opening Keynote:


Thought Leader Panel (User): Reviewing the regulatory horizon and optimizing the regulatory response

  • What’s on the radar, where should we focus efforts, what is the impact of oncoming regulatory change on business strategy: CFTC Re-write, CAT, SEC Rule 606, FINRA TRACE, FRTB, CCAR, CECL
  • Impact of Brexit on reporting
  • Reviewing multi-jurisdictional data standards efforts with a focus on the LEI and forthcoming UPI
  • Taking a joined up approach: Finding efficiencies and synergies across regulations and the role of RegTech
  • Support and engagement with Regulators in moving forward

Moderator: Andrew Delaney, Chief Content Officer, A-Team Group
Raymond Hanson,
Managing Director, Head of Global Markets Program Delivery & Regulatory Technology, Credit Suisse
Robin Doyle,
Managing Director, Head of Regulatory Affairs, JP Morgan Chase
David Ehrich,
EVP, Alliance for Innovative Regulation (AIR); Co-Founder, Petal


Keynote:  Bradley Foster, Global Head of Content (Enterprise), Bloomberg LP


Morning break and visit to the Exhibition


Panel: Managing regulatory change and driving efficiencies from the cost of compliance

  • Coping with increasing volumes and managing the consistency of rules across regulators
  • Horizon scanning and interpretation: developing a regulatory taxonomy with semantic accuracy and standardization of language
  • Funneling the right rules to the right people at the right time
  • How to contain compliance costs in relation to rising volumes of regulatory rules

Tammy Eisenberg, Director – Investment Management Risk and Compliance, BNY Mellon
Viktor Grinberg,
Director, Compliance Technology, Deutsche Bank


RegTech Innovation Pitch
5 minute pitch to the audience (2 pitches available) (contact: for info)


Keynote: MarkLogic


Lunch and visit to the Exhibition


Keynote: SmartStream RDU


Panel: Best practices for regulatory reporting efficiency

  • Managing the challenges of data silos and legacy processes/systems
  • Importance of global data standardization to support regulatory compliance
  • Data sourcing; ensuring data quality, accuracy and consistency
  • CFTC  Swap Reporting Rules, Part 43, Part 49 and the role of RegTech 
  • Using data analytics to slice and dice to gain insights beyond regulatory compliance for added business value

Boris Nelkin, Innovation Specialist, Deutsche Bank
Bradley Foster,
Global Head of Content (Enterprise), Bloomberg LP
Giles Nelson,
CTO, Financial Services, MarkLogic


RegTech Innovation Initiative: Risk, Volatility and RegTech
NYU Stern Volatility Institute is working to analyze both financial and non-financial risks and the interplay among them for the benefit of market practitioners and regulators. 

  • Non-financial risks such as from climate change, cyber events, operational failings and geopolitical developments, are critical ingredients in risk management
  • Despite these risks being hard to measure and analyze, new tools and data can help
  • Risk managers and C-suite executives will need to re-think their business models and processes to increase enterprise resilience and to comply with regulation.

Richard Berner, Executive in Residence and Adjunct Professor, NYU Stern School of Business – Former Director, Office of Financial Research, U.S. Treasury (2013-2017)


Panel: Establishing trust – managing data privacy and cyber security in an AI world

  • Impact of regulatory drivers like GDPR, CCPA on approaches to data privacy
  • Understanding what makes a good data privacy program and where techology can play a role and where it should not
  • Managing privacy data risk when engaging in data analytics
  • Ensuring transaction data is ‘immutable’, secure and demonstrating this to regulators
  • Cross border data privacy controls when using cloud based technologies
  • Cyber security and AI
  • Managing and mitigating risks from open banking and data sharing

RegTech Innovation Pitch
5 minute pitch to the audience (1 pitch available) (contact: for info)


Afternoon break and visit to the Exhibition


Panel: Getting ready for the Consolidated Audit Trail (CAT)

  • Enhancing reporting capabilities to meet requirements
  • Understanding the impact on regulatory operational models
  • Managing data privacy and data security around increased customer reporting and ensuring the appropriate internal controls are in place
  • The role of cloud technologies, machine learning and automation in improving reporting methods

Moderator: Tom Jordan, CEO, Jordan & Jordan
Joshua Beaton,
Head of Americas Trade & Transaction Reporting, Morgan Stanley 


Panel: How to digitize the customer experience with KYC and AML Innovation

  • Best practice approaches to improving efficiencies and automating KYC
  • Progress around streamlining and digitizing the onboarding process
  • The emerging role of digital identity verification in KYC, AML and onboarding
  • Using RegTech to improve AML and financial crime risk; screening, sanctions and reducing false positives
  • Barriers to using RegTech and how they can be removed
  • Considerations for selecting and deploying an efficient and sustainable solution

Kai Schrimpf, Director, Financial Crime Compliance, Credit Suisse
John Sproat,
Managing Director, Head of KYC and Client Onboarding Americas, Societe Generale 


Networking and Drinks Reception

**Agenda subject to change **


“Having attended and spoken at dozens of RegTech events, I was extremely impressed with the A-Team Groups RegTech Summit for Capital Markets. Beyond learning a great deal from highly experienced and knowledgeable speakers, the event offered a great show case of technological innovation as well as an excellent opportunity to network and learn from what the financial markets community is doing to address the regulatory obligations.”

Matt Smith, CEO, SteelEye