The knowledge platform for the financial technology industry
21 November, 2024



@Ease, 7th Floor, 605 Third Avenue, New York



Registration & networking with sponsors


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


Regulator Keynote: A Regulator’s perspective on AI

  • How does the current regulatory framework support AI and is any further clarification needed?
  • How is the Regulator continuing to invest in data and technology to support digital markets and responsible AI?
  • What are the priorities and key messages for firms as they develop AI compliance strategies?

Panel: How to leverage Generative AI and Large Language Models for regulatory compliance 

  • What are the applications and use cases for Gen AI/LLMs in regulatory compliance?
  • How can firms address the limitations of Gen AI/LLMs 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?
  • How can firms successfully integrate Gen AI/LLMs into compliance workflows?
  • What is the potential and the benefits of Gen AI/LLMs and how disruptive could this be for compliance?

Keynote: Smarsh


Networking break with sponsors


Panel: Best practice approaches to data management for streamlined regulatory reporting

  • What are the lessons learned from recent regulatory enforcement actions and can the cost of regulatory reporting ever be positioned as a revenue driver?
  • What approaches are firms taking to meeting increased demands from regulators for higher quality data for reporting?
  • What are the data management challenges for global firms that have to meet global and local requirements and work across multiple regulatory regimes?
  • How is data standardization and harmonization progressing and what more needs to be done?
  • How can firms improve data quality controls and move from reactive to proactive approaches for detecting and reporting data errors?
  • From cost to intelligence – how are firms harnessing the benefits of regulatory reporting e.g data lineage, to make better decisions for business?

How to set up your data management platform to meet the requirements of BCBS239

  • Why is adoption and compliance to BCBS239 principles proving challenging for financial institutions?
  • Where should firms direct investment in data and tech to ensure compliance with BCBS239?
  • What are the benefits of getting it right and penalties of getting it wrong?

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 flexible reporting operating model?
  • What role do cloud and SaaS solutions play in improving agility and flexibility; how do you decide when to use cloud vs. on premise and keep in mind security considerations?
  • Working with vendors: what should you look for in a technology partner; what is key to successful partnership, what are the pitfalls to avoid?
  • What are the best practise approaches to keep on top of remediations and errors with a robust control framework and governance model?
  • What are the critical success factor for technology integration for regulatory reporting? 
  • Is the future integrated platforms via common APIs, moving to a plug and play model?

Lunch and networking with sponsors


Keynote: Managing regulatory expectations and best practices for fighting financial crime


Panel: Addressing financial crime and AML 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?

Panel: Best practices for eComms and multi-channel 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?

Afternoon break and networking with sponsors




Panel:The future of post trade – Next steps after T+1

  • What are the lessons learned from T+1 and how can that help us now?
  • What progress has been made in automation and digitization in post trade processes following T+1?
  • How feasible is it for the global industry to move to T+0 and what would this look like?
  • What technology innovations and operational changes are needed for a T+0 operating model?

Networking drinks



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