Past Agenda
Enabling Innovation in Regulatory Compliance
New information for 2022 coming soon.
Convene, 237 Park Ave New York
16th November, 2022
#RTSNYC
Agenda
DAY ONE
Opening and Welcome
Sarah Underwood, Editor, A-Team Group
DAY TWO
Opening and Welcome
Andrew Delaney, President & Chief Content Officer, A-Team Group
Panel: Compliance Perspectives – The outlook for regulatory compliance and RegTech in a digital economy
- Impact of COVID and digital transformation trends on the evolution of regtech over the last 12 months
- Regulatory and supervisory responses and how this will support fintech, digital and technology agendas
- Operationalising RegTech and overcoming barriers of adoption: how can we move the dial forward
- The outlook ahead and priorities for financial institutions and the RegTech industry
Moderator: Martha Cummings, Global senior risk and compliance executive, Formerly Wells Fargo, Santander and Federal Reserve
Ian Hollowbread, Head of RegTech, ING Labs
JoAnn Barefoot, CEO and Co-Founder, Alliance for Innovative Regulation (AIR) Winner – FinTech Woman of the Year 2021
Sholthana Begum, Head of RegTech, Bank of England
Kirsty Rutter, Group Head of Technology and Change Risk, Lloyds Banking Group
Fireside Chat: A RegTech Perspective from the FCA
- Reviewing lessons learnt over the last year and the outlook for RegTech
- FCA’s RegTech and SupTech focus areas for 2021
- Key messages and guidance for financial institutions on RegTech adoption
Interview with: Francesca Hopwood Road, Head of RegTech and Advanced Analytics, Financial Conduct Authority (FCA) Woman in FinTech Powerlist 2020
Interviewed by: Andrew Delaney, President & Chief Content Officer, A-Team Group
Fireside Chat: Financial crime compliance – Instilling data privacy and protection in an effective regulatory response
- Reviewing the financial crime landscape, its regulations and the demands on compliance
- The imperative for data: Examining data needs in due diligence programs and its compatibility with data protection
- How to approach and mitigate this compliance challenge with regtech
- After years of failing to contain financial crime that could cause economic instability, how could financial institutions, regulators and regtech solutions vendors take this on and make a real dent in financial crime?
Interview with: Dr. Michelle Frasher, Sr. Director – Financial Crime Compliance Practice Lead, Moody’s Analytics
Interviewed by: Bill Hauserman, Senior Director – Head of the Financial Crime Due Diligence Practice – Americas, Moody’s Analytics
Fireside Chat: The rise of game changing Privacy Enhancing Technology (PETs) to unlock value and improve compliances
- What are Privacy Enhancing Technologies (PETs) and what problems can they solve
- Exploring opportunities and use cases
- Challenges of adoption
- Potential benefits
- Guidance and advice on implementing PETs
Interview with: Anthony Ta, Project Director, Digital & Innovation & Watch Leader, Societe Generale
Interviewed by: Mark Davies, Partner, Element 22
Panel: Regulatory change – a strategic approach
- Coping with increasing volumes and managing the consistency of rules across regulators
- How RegTech can be applied to help track and manage regulatory change, provide effective policy management and a strategic approach to managing regulatory change
- How to contain compliance costs in relation to rising volumes of regulatory rule
Moderator: Robin Doyle, Risk & Finance Executive Leader; Formerly JP Morgan
Linda Gibson, Director, Head of Regulatory Change, BNY Mellon | Pershing
Brett Utnick, Head of Regulatory Operations, BMO Financial Group
Emma Kalliomaki, Managing Director, Derivatives Service Bureau (DSB)
Tom Wieczorek, MD, Global Product Management, UnaVista, an LSEG Business
Panel: Leveraging RegTech to create a single, holistic view of the customer to manage AML risk and improve KYC
- Managing siloed and fragmented data and systems: how to get your data and technology set up right for Know Your Customer (KYC) and Anti-Money Laundering (AML)
- Transaction monitoring approaches: Transitioning to Machine Learning (ML) models to analyse complex data sets and how to manage data quality issues
- Moving towards event driven KYC approaches
- Opportunities for Distributed Ledger Technology (DLT) to drive industry collaboration to improve AML and Financial Crime Compliance (FCC)
Moderator: Samantha Sheen, Financial Crime Compliance Expert; Founder & Director, Ex Ante Advisory Ltd
Igor Sumkovski, Senior Manager, Financial Crime Advisory, Santander
Sateesh Kumar, Director, Regional Head of Data Insights and Analytics – Americas, MUFG
Anne Clendenny, AML Transaction Monitoring Manager, Rabobank
Ted Datta, Head of Financial Crime Compliance Practice – Europe & Africa, Moody’s Analytics
Keynote: Addressing the legacy
- Review the market impact of legacy technology
- Understand the economic factors that have bought a reprieve from legacy impacts
- Solving the legacy technology puzzle
Nathan Snyder, Head of Banking and Capital Markets Consulting, DXC Luxoft
Fireside Chat: Regulatory reporting journey – from a targeted to a holistic approach
- The incremental shift to holistic reporting – is this a global phenomenon?
- Customer alignment through mirrored journeys
- Practical ramifications of the journey and how others can achieve the same
Interview with: Pierre Khemdoudi, Senior Vice President, Equities and Regulatory Reporting, IHS Markit
Interviewed by: Sarah Underwood, Editor, A-Team Group
Panel: Preparing for a new era of regulatory transparency: What will the new global reporting environment look like and how should financial institutions prepare?
- How to respond to regulators’ expectations for more granular and higher quality data
- In the new environment – how to build a strong data governance framework to ensure data quality, completeness and accuracy for reporting
- Best practices for proving data lineage for regulatory compliance
- Progress around adoption and alignment of data standards
- Industry developments – Digital Regulatory Reporting (DRR) updates
Moderator: Andrew Delaney, President & Chief Content Officer, A-Team Group
Rachel Przybylski, Head of Regulatory Quality Assurance, Trading Platform Technology, Man Group
Emma Tan, Vice President – Regulatory Affairs, JP Morgan
Christina Schack, Head of Data Operations & Strategy, Vontobel
Viktor Grinberg, Senior Executive, Compliance and Regulatory Technology Professional
Igor Kaplun, Head of Regulatory Reporting Business Development, North America, IHS Markit
Panel: Fulfilling the promise of RegTech in the cloud
- Managing interoperability issues with cloud based RegTech platforms and with existing platforms and legacy data architectures
- Leveraging APIs and open source technologies to connect data and workflows
- Managing data risks: cyber security, data privacy and protection
- Working with 3rd parties and managing vendor risk
Moderator: Colin Gibson, CDMC Product Manager, EDM Council
Ashok Mehta, Head of Equities Regulatory Reporting Technology – Director, Credit Suisse
Ben Clinch, Independent Data and Architecture Leader
David Ehrich, Executive Director and Co-Founder, Alliance for Innovative Regulation (AIR)
Harpreet Singh, Head of Middle and Back office Consulting, DXC Luxoft
Panel: Best practices for transaction reporting automation and compliance
- Lessons learned from MiFIR, EMIR, SFTR and outstanding issues
- Challenges in automating transaction reporting processes
- Fixing data quality issues to improve accuracy and completeness
- How to build best practice into transaction reporting platforms
- The rewards beyond compliance of getting it right, the penalties of getting it wrong
Moderator: Nirvana Farhadi, RegTech Pioneer, Expert, Author, Business Development Board member RegTech practice, Grant Thornton
Christopher Owers, Executive Director – Head of UK Regulatory Transaction Reporting Service Delivery (RtB), UBS
Charlotte Longman, Director and Co-Lead of ACA’s Regulatory Reporting Monitoring & Assurance (“ARRMA”) services, ACA Group
Gaurav Bansal, Founder, R-Cloud; Regulatory Consultant, Tier 1 Banks
Keynote: EMIR Refit from the trenches – progress so far and challenges ahead
- Role of a Trade Repository
- EMIR Refit: the knowns, the unknowns, the challenges, the road ahead
James Hardie, Technical Product Manager, UnaVista, a LSEG Business
Emma Barber, Senior Business Analyst, UnaVista, a LSEG Business
Wrap up and close
Panel: Managing trade and communications surveillance in the new world of work
- Managing the risks of data capture from new communications channels – voice, video, email and personal/unmonitored devices
- How to approach surveillance in a ‘hybrid’ working environment
- Leveraging AI, NLP and ML to manage unstructured data and improve surveillance effectiveness
- Managing the problems of false positives
- Is holistic surveillance the answer?
Moderator: Matthew Bernstein, Information Governance Strategist, MC Bernstein Data
Yasmine Li, Head of EMEA Surveillance, Macquarie Group
Stan Yakoff, Head of Americas Supervision, Citadel Securities; Adjunct Professor – Fordham Law
Julian Horky, Head of Risk Controlling BCM, Berenberg Capital Markets LLC
Eddie Cogan, Partner, Head of eComms Surveillance, ACA Group
Wrap up and Close
Sarah Underwood, Editor, A-Team Group