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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: RegTech – No more excuses

RegTech adoption has been slower than expected.  Financial Institutions site many reasons from regulatory uncertainty, to the inconvenience of ‘point solutions’.  But the bar will be raised by those who moved forward and the rest will be playing catch up.  Jonah will share insights into trends he is seeing in the RegTech market, from Financial Institutions and Regulators.

Jonah Crane, Regulator in Residence, Fintech Innovation Lab NYC; Senior Advisor, RegTech Lab


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

  • What’s on the regulatory radar, where should we focus efforts, what is the impact of oncoming regulatory change on business strategy?
  • 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
  • Barriers to adoption and scaling up
  • 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
Richard Maton,
Executive Board Member and Strategic Initiatives Lead, International RegTech Association


Keynote:  Understanding the importance of an integrated regulatory, data and technology strategy

  • Current regulatory landscape
  • How data and regulation are inextricably linked
  • Integrating data and technology for regulatory compliance and beyond

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


Networking and refreshment break


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
  • Funnelling the right rules to the right people at the right time
  • How to contain compliance costs in relation to rising volumes of regulatory rules

Moderated by: Matthew Bernstein, MC Bernstein Data
Tammy Eisenberg,
Director – Investment Management Risk and Compliance, BNY Mellon
Viktor Grinberg,
Director, Compliance Technology, Deutsche Bank
Will Newcomer,
VP Strategy, Finance, Risk and Reporting, Wolters Kluwer
Harry Chopra,
Chief Client Officer, Axiom SL
Todd Ehret,
Senior Regulatory Intelligence Expert,Thomson Reuters


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


Keynote: MarkLogic


Networking and Lunch in the Exhibition area 


Keynote: Trade and transaction reporting challenges – security data challenges

– Where are we with MiFIR/MiFID II?
– The implications of Brexit – what should you expect?
– What should you be doing to support SFTR?

William K. Gates,
EVP, Business Development & Alliances, SmartStream RDU


Panel: Best practices for regulatory reporting efficiency

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

Moderated by: David Goldman, Head of Regulatory Operations, RBC Capital Markets
Boris Nelkin,
Innovation Specialist, Deutsche Bank
Richard Berner,
Executive in Residence and Adjunct Professor, NYU Stern School of Business; Former Director, Office of Financial Research, U.S. Treasury (2013-2017)
Bradley Foster,
Global Head of Content (Enterprise), Bloomberg LP
Giles Nelson,
CTO, Financial Services, MarkLogic
William K. Gates, EVP, Business Development & Alliances, SmartStream RDU


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)




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


Networking and refreshment break


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
David Emero,
Vice President, Regulatory Operations, Goldman Sachs
Manisha Kimmel,
Senior Policy Advisor, Regulatory Reporting, SEC
Adam Dix,
Director – Regulatory Reporting, Kx
Alex Rabaev,
Director, Global Head of CAT Regulatory Reporting, Risk Focus 


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

Moderated by: Ben Arber, Head of Financial Crime Compliance, Commerical Banking, HSBC
Kai Schrimpf,
Director, Financial Crime Compliance, Credit Suisse
John Sproat,
Managing Director, Head of KYC and Client Onboarding Americas, Societe Generale
Ali van Nes,
Senior Vice President, Senior Director, Regulatory Solutions, FactSet
Chuck Papageorgiou,
Co-Founder & CEO, WorldWatch Plus


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