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

Keynote: How to leverage Generative AI for RegTech

• How should firms identify opportunities for Generative AI?
• What are successful approaches for moving from idea to operationalization?
• What are the requirements for Generative AI to be successful enterprise wide?
• How will Generative AI accelerate and make compliance more efficient?
• What will the future look like as the industry adopts Generative AI and large language models (LLMs)?
  

Joseph Sabelja, AI Strategy & Innovation, JP Morgan

Panel: Practicalities of Generative AI and large language models for compliance – risks, challenges and opportunities

• What are the applications and use cases for generative AI in regulatory compliance?
• How can firms successfully integrate large language models into compliance workflows?
• How can firms address the limitations of large language models in compliance: data quality/availability, model interpretability and potential biases?
• How can firms address regulatory and ethical  concerns from AI systems?
• What is the right mix of skills and talent for compliance AI?
• What is the potential and the benefits of generative AI and how disruptive could this be for compliance?

Moderator: Minerva Tantoco, Technology Council, Alliance for Innovative Regulation (AIR)
Anand Narayanan, Executive Director, Head of Regulatory Change Management, SMBC Corporation
Kaitlin Asrow, Executive Deputy Superintendent, Research & Innovation Division, New York State Department of Financial Services
John Chan, Director of Technology – AI, ML, Raymond James Financial
Vall Herard, Co-founder & CEO, Saifr

Keynote: Unleashing regulation as a business catalyst

• Meeting regulatory requirements often feels like a burden, straining resources, and operations. How can the regulatory challenge be re-framed as an opportunity?
• Shifting from regulatory defense to offense – How should firms move from defensive to offensive strategy and align data and technology practices with business goals?
• Regulation as opportunity – How can banks unearth new opportunities and go beyond simply meeting regulatory requirements to thrive in a landscape where compliance becomes a stepping stone to success?

Ihyeeddine El Feki, Trading and Risk Management Solutions lead, Luxoft

Panel: Evolution of communications surveillance

• How have technologies and capabilities evolved around communications surveillance?
• What progress are firms making adopting these solutions?
• How are firms managing data challenges?
• What is the potential to optimize unstructured data?
• What is the potential for generative AI and large language models to transform communications surveillance?

Moderator: Andrew Delaney, President & Chief Content Officer, A-Team Group
Sepehr Irandoost, Head of Global Surveillance Effectiveness and Efficiency, Bank of America
Stan Yakoff, Adjunct Professor of Law, Fordham Law School
Konstantinos Rizakos, Managing Director, Compliance Engineering, Goldman Sachs
Rachna Srivastava, Head of Product, AI, Data & Platform, Symphony

Keynote: How to build trust in your data to boost the health and stability of your organization and its people – and improve your regulatory response

Data ambiguity is the number one cause of data-related stress in Banking and Financial Services, placing a particular burden when it comes to meeting regulatory obligations. Join us as we discuss how to build trust and confidence in your data and take ever-evolving regulations in your stride.

• How do regulatory obligations impact data-related stress in Financial Services and what is the impact on the business and its employees?
• As regulations increase and your systems become ever more complex, how do you put the brakes on the slide towards data distress – and build back trust in your data?
• What role does technology, automation and tooling play in driving data certainty and how can lineage-enabled connected governance help reveal context, boost confidence and enable sustainable risk management?

Philip Dutton, Co-Founder & CEO, Solidatus

Panel: Tackling AML and financial crime with RegTech 

• What are the optimal approaches for keeping up with regulatory change and obligations for AML regulatory compliance?
• Where are firms on their journey of harnessing data to provide a single view of a customer, throughout the life cycle of the relationship?
• Progress towards perpetual KYC: what has been done and what’s left to do?
• How can RegTech be harnessed to strengthen detection models and automate key processes in KYC and AML measures?
• How can AI be used to enhance the existing control framework in financial crime and AML space?
• What is the potential for generative AI and large language models to transform AML and fincrime compliance?

Moderator: Alex Ford, Co-Founder, Women in RegTech in New York; Non Executive Director, The RegTech Association
Mandy Ramlow, Managing Director, AML Systems, Data, Innovation and Operations, BMO Financial Group
Jocelyn Valenzuela, Executive Director, Head of KYC Management Team, Natixis CIB Americas
Rakesh Gupta, Head of Data Strategy & Management, TD Group
Sateesh Kumar Challa, Head of Digital Transformation Office, Societe Generale 

Panel: How to build a flexible and agile reporting platform to meet future requirements

• Balancing tactical vs. strategic approaches: What are the questions firms need to consider when transitioning from a legacy environment to a strategic, agile and flexible reporting operating model?
• What role do cloud and SaaS solutions play in improving agility and flexibility and how do you decide when to use cloud vs. on premise?
• How can RegTech help firms meet regulatory demands for high quality granular data and to ensure data lineage for improved transparency?
• How can RegTech help speed up remediation to improve data accuracy and timeliness with a focus on: Quality assurance; Transaction testing; Enhanced control functions?
• What are the developments in data harmonization and standardization and how can firms incorporate these into strategic reporting solutions?
• Is the future integrated platforms via common APIs, moving to a plug and play model?

Moderator: Clare Gehrhardt, Regulatory Reporting Specialist
Brett Utnick, Head of US Regulatory Services, BMO Financial Group
Sassan Danesh, Management Team, Derivatives Service Bureau (DSB)
Clifford Gerber, Director, Capital Markets Trading Technology, Luxoft 

Fireside Chat:  How to improve data quality for Consolidated Audit Trail (CAT) reporting

• What are the most recent CAT developments and how do these impact firms?
• How are Regulators leveraging CAT data across various regulatory regimes and what further developments can the industry expect?
• How can broker dealers meet regulatory requirements for more granular data and improve the accuracy and completeness of reports?
• How can RegTech help with reconciliation and improving efficiencies?
• What are the risks of poor data quality?

Interview with: Peter Gargone, Founder & CEO, n-Tier
Interviewed by: Andrew Delaney, President & Chief Content Officer, A-Team Group

Panel: How to navigate market disruption with a strong compliance program and risk management framework

• What are the lessons learned from the recent market disruption/bank failures and where are Regulators focused now?
• What are the challenges for firms in processing large data volumes to meet liquidity stress testing requirements and how can firms keep up with regulatory change from the regulators?
• As regulators take a deeper view on data, models and calculations, how should firms review their strategic data sourcing and architecture and make decisions around where to invest for more advanced capabilities?
• Maintaining tight data lineage for accuracy and transparency is mission critical, what are the key steps to get right here?
• What is the role of regtech in helping to optimize data management and reporting in this area and where are firms making most progress in adoption?
• Whilst technology is the enabler people have a key role to play. How is the role of the risk and compliance personnel changing and what are the skills, talent and expertise needed now and in the future?
• Coming next – what are the implementation challenges for Basel III and how should these be addressed?

Moderator: Kenneth Lamar, Principal Partner, Lamar Associates LLC
Shahab Khan, Head of Liquidity Policy, HSBC
Aaron Liang, Head of Reg Reporting Quality Assurance, Former SMBC
Kreso Marusic, Former CCAR Lead, Deutsche Bank; Financial Controller, Bridgewater Associates
Tina Chace, VP Product, Solidatus

Fireside Chat: Open RegTech strategic initiative

• How is the financial industry using open source to meet regulatory requirements?
• What are the challenges, opportunities and benefits of using open source for regulatory compliance?
• What are the best practice approaches to leverage open source for regulatory compliance?

Moderator: Jane Gavronsky, COO, FINOS
Kabir Rekhi, Managing Director, Global Head Data Architecture, RBC Capital Markets
Alexandra Mysak, Board Member, FINOS

Panel: RegTech Implementation & ROI – How to enable and accelerate a successful partnership 

• Agile Onboarding: How can financial institutions onboard regtechs more efficiently?
• How can RegTech help with onboarding due diligence to determine ESG credentials when working with new clients and partners?
• What are the key success factors for a successful RegTech partnership?
• What role should regulators play in driving forward regtech innovation?
• How can operational resilience, concentration risk and cyber risks be managed when working with third parties?
• How can firms get the best value and ROI from RegTech?

Moderator: Mary Kopczynski, Co-Founder, Women in RegTech New York
Weiyee In, CIO, Protego Trust
Kabir Rekhi, Managing Director, Global Head Data Architecture, RBC Capital Markets
Inna Jackson, Tech knowledge and Innovation – Americas, Clifford Chance
Gerard Bermingham, Head of Client Management & North America, Corlytics
Melissa Watras, Director of Product, Trillum Surveyor

Ends