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

• How are supervisors assessing AI deployments across financial institutions today?
• What governance frameworks, controls and human oversight mechanisms do regulators expect firms to have in place?
• How should firms identify and manage risks associated with third-party AI vendors, models and supply chains?
• How can AI be deployed across surveillance, KYC and financial crime compliance while maintaining regulatory confidence?
• What does a defensible AI operating model look like, and how can firms demonstrate accountability and explainability?
• What regulatory, supervisory and risk management developments should firms prepare for over the next 12–24 months?

Kaitlin Asrow, Acting Superintendent, NYDFS

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
Robert Cruz, VP, Information Governance Solutions, Smarsh

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: Alex Ford, Co-Founder, Women in RegTech New York (WIRTNY)
Kim Jaffee-Prado,MD, Global Head of Product – GlobalLINK, State Street
Sateesh Kumar Challa, Head of Digital Transformation Office, Societe Generale
Clement King, Managing Director and U.S. Head of Business Risk Management. Scotiabank
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: Smarsh
Vincent David, Vice President of AI Engineering, Smarsh

Keynote Fireside Chat: From Innovation to enforcement: protecting market integrity in emerging arkets

• What are the CFTC’s key enforcement priorities as new market structures, products and technologies develop?
• How is the Commission thinking about market integrity risks in the rapidly developing prediction and event-contract markets?
• What are the most significant risks around manipulation, insider trading and conflicts of interest as these markets mature?
• How should exchanges, trading venues and market participants think about surveillance and controls when traditional market structures are applied to new types of contracts?
• As AI and increasingly sophisticated technology become embedded in trading and market infrastructure, what new enforcement and market-integrity risks should firms be considering?
• What lessons can firms take from recent enforcement activity about the controls, governance and surveillance capabilities regulators expect to see?

Interview with: David I. Miller, Director, Division of Enforcement, Commodity Futures Trading Commission (CFTC)
Interview by: Dessa Glasser, Principal, Financial Risk Group & Independent Board Member, Oppenheimer Holdings Inc

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?

Moderator: David Hirsch, Partner, McGuireWoods LLP

RegTech Summit New York Innovation Spotlight

Discover the next generation of RegTech innovation as emerging technology providers each take to the stage for a 5 minute showcase. From AI and regulatory reporting to surveillance, financial crime and data management, each company will demonstrate how they’re solving real-world compliance challenges.

1: VeriCasa

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

• Where is AI delivering measurable value across compliance today?
• How are firms building and proving the business case for AI investment?
• Which AI use cases are successfully moving from pilot to production?
• How are firms measuring ROI across efficiency, risk reduction and better decision-making?

2. Perpetual KYC and event-driven financial crime monitoring

• How are firms moving from periodic KYC reviews toward continuous, event-driven monitoring?
• Which internal and external data sources are proving most valuable for identifying changes in customer risk?
• How can AI and automation improve financial crime detection while managing false positives?
• What governance and human oversight are needed to make perpetual KYC defensible?

3. Building Agile RegTech and Reporting Architectures Across Global Regulatory Regimes

4. Unstructured data governance and AI readiness

• How are firms governing communications, documents, voice and other unstructured data?
• What needs to be in place before organizations can safely apply AI to unstructured data?
• Which use cases are delivering the greatest value from AI-driven unstructured data intelligence?
• How can firms ensure AI-generated insights are accurate, explainable and defensible?

5. AI security, third-party risk and operational resilience

Ends