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Past Agenda

Enabling Innovation in Regulatory Compliance

New information for 2022 coming soon.

Convene, 237 Park Ave New York

16th November, 2022




Opening and Welcome

Sarah Underwood, Editor, A-Team Group


Opening and Welcome

Andrew DelaneyPresident & 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


“Having attended and spoken at dozens of RegTech events, I was extremely impressed with the A-Team Groups RegTech Summit for Capital Markets. Beyond learning a great deal from highly experienced and knowledgeable speakers, the event offered a great show case of technological innovation as well as an excellent opportunity to network and learn from what the financial markets community is doing to address the regulatory obligations.”

Matt Smith, CEO, SteelEye