Opening and Welcome
Lorna Van Zyl, Head of Event Content, 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?

Interview with: Haimera Workie, Vice President and Head of Financial Innovation, FINRA – Office of Financial Innovation
Interviewed by: Minerva Tantoco, Member, Financial Innovation Advisory Board, New York State Department of Financial Services

Panel: How to leverage Generative AI and Large Language Models (LLMs) 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 are the potential and the benefits of Gen AI/LLMs and how disruptive could this be for compliance?

Moderator: Adrian Sharp, RegTech Insight Editor, A-Team Group
Erin Preston, Chief Compliance Officer, Wedbush Securities 
Harsh Pandya, Vice President, Product Management, Saifr
Brandon Carl, EVP, Product Strategy, Smarsh
Rachna Srivastava, Head of Product, AI, Data & Platform, Symphony

Keynote: Generative AI…So, where’s the data?

• What are the challenges of implementing in-house GenAI with massive unstructured data feeds?
• How can enterprises balance information governance to meet the demands of GenAI data feeds?
• What strategies can reduce storage costs and legal liabilities when handling large data sets?
• How can organizations govern unstructured data for e-discovery, compliance, records, and privacy?
• What roles do SLM (Self-Learning Models) and RAG (Retrieval-Augmented Generation) play in scaling GenAI training?

Kon Leong, CEO, ZL Tech, Inc.

Panel: Adopting a holistic approach to regulatory change management

• What are the best approaches to identify and interpret new regulatory obligations?
• How can firms then build necessary workflows and control frameworks to manage regulatory change?
• What is the role of a risk control matrix in an interconnected governance risk and compliance ecosystem?
• How are firms leveraging AI and horizon scanning obligations and how useful is this both from a firm and industry perspective?

Moderator: Mary Kopczynski, J.D./Ph.D,Co-Founder, Women in RegTech New York (WIRTNY)
Sateesh Kumar Challa, Head of Digital Transformation Office, Societe Generale
Anand Narayanan, Head of Regulatory Change Management, SMBC Corporation
Jen-Larie Tumminello, Executive Director, Global Finance, Policy & Conduct Risk, Morgan Stanley
Susie MacKenzie, Head of Legal and Regulatory Analysis, Corlytics

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?

Moderator: Ken Lamar, Principal Partner, Lamar Associates LLC
Cheryl Benoit, Executive Director – Enterprise Data Management Office Risk Data Steward, Mizuho Americas
Anuj Agarwal, Director – Finance Head of Data Governance, SMBC Corporation
Emma Kalliomaki, Managing Director, Derivatives Service Bureau
Tony Brownlee, President, Chief Revenue Officer, Kingland

Keynote: Global Systemically Important Banks (G-SIB) in 2024 – Data and Regulatory Priorities

• What are the regulators expectations for mature quality assurance practises for managing risk at global systemically important banks (G-SIBs)?
• What are the best practice approaches for enabling data access and control management across AML, KYC, credit, and operational risk domains?
• What are the benefits from investing in enhanced controls and data quality?

Tony Brownlee, President, Chief Revenue Officer, Kingland

Panel: Communication surveillance: what’s new, what’s changed, why’s this still broken?

• Several years and $2.5 billion+ in fines later, why does communication surveillance technology and compliance continue to be such a challenge for firms?
• What are the pitfalls you continue to see firms struggle with?
• What are the new areas that firms should be thinking about to ensure there aren’t any blindspots?
• What are the trends around buy vs. build?
• How have regulatory impressions towards this technology evolved or changed, especially with regulations like the EU AI Act imminent?
• What have been some new developments that deserve more attention, or areas requiring more vendor focus?

Moderator: Adrian Sharp, RegTech Editor, A-Team Group
Stan Yakoff, RegTech Advisor and Law Professor
Alexander Aronov, Senior Director, AI Compliance and Data Intelligence, Citi
Patrick Palomo, Principal Solutions Architect, Smarsh
Garth Landers, Director of Global Product Marketing, Theta Lake
Peter Kenny, Managing Director, ACA Group

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 going to be integrated platforms using common APIs, perhaps a plug and play model?

Moderator: Dessa Glasser, Independent Board Member, Oppenheimer & Co.
and Chair, Global Legal Entity Identifier Foundation (GLEIF)
Joshua Beaton, Head of Non-Financial Regulatory Reporting (NFRR), Wells Fargo
Murali Duvapu, Data Governance Executive, Scotiabank
Elena Unciuleanu, Founder & CEO, Reporting Center
Peter Gargone, Founder & CEO, n-Tier

Keynote: 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?

Mary Ann Callahan, Senior Policy Advisor, U.S Securities and Exchange Commission (SEC)

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

• Overview of FinCEN’s role in the regulatory landscape, including recent updates to anti-money laundering (AML) and combating the financing of terrorism (CFT) regulations.
• Discussion of the consequences of non-compliance and recent enforcement actions.
• How financial criminals are adapting to new technologies and market conditions, and the implications for financial institutions.
• Recommendations for implementing effective AML/CFT programs, including the use of advanced data analytics, machine learning, and other technologies to detect and prevent financial crime.

Katherine Ford, Associate Director, Strategic Operations, FinCEN

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?
• What approaches are firms taking to keep up with the regulatory expectations from the new Beneficial Ownership Rules?
• Where are firms on their journey to 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 the financial crime and AML space?
• What is the potential for generative AI and large language models to transform AML and fincrime compliance?

Moderator: Alex Ford, Co-Founder, Women in RegTech New York
Krishna Nair, Head of AML, KYC, Electronic Communication, Trade Compliance Technologies, MUFG
Joseph Sabelja, Generative AI Firmwide Platform Lead, JP Morgan
Chandrakant Maheshwari, FVP, Lead Model Validator, Flagstar Bank
Samantha Leventhal, Managing Director, Global Financial Crimes Executive, Bank of America

Ends