Essential reading

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New York City

18th November, 2021




Keynote:  Understanding the importance of an integrated regulatory, data and technology strategy

  • Current regulatory landscape
  • How data and regulation are inextricably linked
  • Integrating data and technology for regulatory compliance and beyond

Bradley Foster, Global Head of Content (Enterprise), Bloomberg LP

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Keynote: Taming the Regulatory Beast

  • Despite the increasing depth and breadth of financial regulation, organizations are still taking an expedient, project-based approach to compliance
  • With plenty more of it coming why this approach isn’t sustainable
  • Moving towards digital regulation – what firms need to start thinking about
  • A vision for a “digital regulation hub” with data as the foundation
  • Recommendations for best practices

Dr. Giles Nelson, CTO, Financial Services, MarkLogic

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Keynote: Trade and transaction reporting challenges – security data challenges

– Where are we with MiFIR/MiFID II?
– The implications of Brexit – what should you expect?
– What should you be doing to support SFTR?

William K. Gates, 
EVP, Business Development & Alliances, SmartStream RDU

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RegTech Innovation Initiative: Risk, Volatility and RegTech
NYU Stern Volatility Institute is working to analyze both financial and non-financial risks and the interplay among them for the benefit of market practitioners and regulators.

  • Non-financial risks such as from climate change, cyber events, operational failings and geopolitical developments, are critical ingredients in risk management
  • Despite these risks being hard to measure and analyze, new tools and data can help
  • Risk managers and C-suite executives will need to re-think their business models and processes to increase enterprise resilience and to comply with regulation.

Richard Berner, Clinical Professor of Finance and Co-Director, Volatility & Risk Institute, NYU Stern; Former Director, Office of Financial Research, U.S. Treasury (2013-2017)

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Presentation: The trend towards regulatory operations

  • Driving factors behind change
  • Historical approaches
  • Critical components required for success

Peter Gargone, CEO & Founder, n-Tier Financial Services
Fera Jeraj, 
Managing Director, Head of Global Equity and Structured Products Technology,BMO Capital Markets

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