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

Opening Regulator Keynote: From AI innovation to AI supervision: What regulators expect as AI moves into production

Panel: Future of regulatory compliance, AI and regtech: Navigating the next phase of transformation

• What does the regulatory environment look like and what are the hotspots for compliance?
• How are firms managing compliance across jurisdictions, balancing global standards with local regulatory requirements?
• AI in compliance: where is the real ROI emerging
• How are compliance operating models evolving to meet increasing regulatory complexity, resource constraints and business demands?
• How are firms moving from isolated GenAI sandboxes to production-grade AI architectures that integrate regulatory obligations, policies, controls and risk management frameworks, what are the blockers?
• What investments and technologies will have the greatest impact on compliance effectiveness?

Moderator: Andrew Delaney, President & Chief Content Officer, A-Team Group
Andelija Milas, Head of FCP Process and Production, ING
Anand Narayanan, Executive Director – Head of Strategic Initiatives & Program Governance, SMBC Group
Amy Hull, Head of Financial Crimes Compliance, Americas, Marex
Konstantinos Rizakos, General Manager, Compliance, NICE Actimize

Keynote: Breaking the remediation & back reporting cycle
Andrew Pinnington, Chief Customer Officer, Novatus

A-Team Group Research Report Update

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

Panel: Opportunities for harnessing structured and unstructured data for compliance insight

• How are firms combining structured and unstructured data to gain a more holistic view of compliance risk?
• What opportunities exist to leverage AI and analytics to extract actionable insights from communications, documents, voice and transaction data?
• How can firms improve surveillance, investigations and risk monitoring by breaking down data silos across the organisation?
• What governance, lineage and quality controls are needed to ensure compliance insights are accurate, explainable and defensible?
• How should organisations manage the growing volume of AI-generated content and communications?
• What are the most successful use cases delivering measurable value across compliance, surveillance, financial crime and regulatory reporting?

Moderator: Adrian Sharp, Editor, RegTech Insight, A-Team Group
Vall Herard, CEO & Founder, Saifr
Stephanie Rubizhevsky, Chief Solutions Officer, Novatus

Panel: Regulatory reporting: Today’s challenges

• How can firms ensure they are ready for the next regulatory priorities and what does ‘good reporting’ look like?
• Where is the industry on the simplification of OTC reporting and managing reporting across G20 institutions?
• What does the future hold for FINRA CAT, CAIS, Blue Sheets and evolving buy-side disclosure rules (like SEC 13F2)?.
• How are firms reassessing buy versus build decisions as reporting requirements become increasingly complex?
• How are firms using AI and ML in regulatory reporting

Moderator: Mary Kopczynski, Co-Founder, Women in RegTech New York (WIRTNY)
Brett Utnick, Executive Director – Head of Regulatory Oversight Group, Americas, Nomura
Peter Justini, Finance Regulatory Manager, Hudson River Trading

Sponsor Keynote:

Use Case Keynote: Using the right tool: Applying AI and other technologies in compliance

• How can compliance teams determine when AI adds genuine value and when automation or traditional rule-based approaches are the better solution?
• What practical lessons can be learned from applying AI and other technologies to consumer complaint review and categorization?
• How are firms using AI, automation and data aggregation to improve compliance and risk reporting while maintaining accuracy and explainability?
• How can organizations combine structured logic and AI-driven pattern recognition to strengthen risk identification and escalation?
• What criteria should firms use to balance effectiveness, transparency, operational effort and long-term sustainability when selecting compliance technologies?
• What frameworks can help organizations evaluate and prioritise AI use cases that deliver measurable business value?

Leslie Barrett, Vice President | FACT & WCIB SS Governance, Controls, & QA
Corporate Compliance, U.S Bank

Panel: Managing compliance, surveillance and risk for prediction markets and event-based contracts

• What are regulators focusing on as participation in these markets grows across institutional and retail investors?
• How can firms monitor for market manipulation, insider activity and conduct risk in event-driven markets?
• What surveillance technologies and data sources are required to identify suspicious trading patterns and emerging risks?
• How can firms manage the growing volume of structured and unstructured data associated with prediction markets, social media, news and alternative information sources?
• What role can AI play in improving trade surveillance, investigations and risk detection while maintaining governance and regulatory oversight?

Moderator: Dorothy D. DeWitt, CEO & Founder, Tölt Strategies
Melissa Babin, Senior Director, Head of Financial Crimes Investigations & AML Compliance Officer, Robinhood
Sudhir Jain, Chief Compliance Officer & Head of Regulatory Affairs, Kalshi
Elie Mishory, Chief Regulatory and Legal Affairs Officer, Novig

Panel: AI Innovation is outpacing security: Managing cyber, third-party and model risk governance

• How are firms identifying and mitigating emerging AI security risks, including prompt injection, model manipulation, data poisoning and data leakage?
• As organisations increasingly rely on third-party AI platforms, cloud providers and external models, how should they assess and manage supply chain and concentration risks?
• How are firms strengthening operational resilience and ransomware preparedness in an increasingly interconnected technology ecosystem?
• What governance frameworks are needed to manage the risks associated with open-source AI models while still enabling innovation?
• How should firms approach AI model risk management to ensure systems remain reliable, explainable and compliant as they move into production?
• What steps should organisations be taking now to prepare for future cyber threats, including the potential impact of quantum computing on financial services security?

Champagne Roundtable Sessions: These provide a unique opportunity for deep-dive, interactive discussions with peers and industry leaders on some of the day’s most important themes.

1. Building the business case for AI in compliance
2. Perpetual KYC and event-driven financial crime monitoring
3. Managing compliance across diverging regulatory regimes
4. Unstructured data governance and AI readiness
5. AI security, third-party risk and operational resilience

Ends