Past 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

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

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