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

Countdown

Location

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

Agenda

8:15am

Registration & networking with sponsors

09:00am

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

09:10am

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?
09:35am

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?
10:20am

Keynote: Smarsh

10:40am

Networking break with sponsors

11:10am

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?
11:55

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?
12:15pm

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?
1:00pm

Lunch and networking with sponsors

2:00pm

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

2:20pm

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?
3:10pm

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?
3:55pm

Afternoon break and networking with sponsors

4:25pm

Keynote:

4:45pm

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?
5:30pm

Networking drinks

6:30pm

Ends

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