Opening and Welcome
Adrian Sharp, Editor, RegTech Insight, A-Team Group

Panel: Future of regulatory compliance, AI and regtech: Navigating the next phase of transformation

• What does the regulatory environment look like and what are the hotspots for compliance?
• How are firms managing compliance across jurisdictions, balancing global standards with local regulatory requirements?
• AI in compliance: where is the real ROI emerging
• How are compliance operating models evolving to meet increasing regulatory complexity, resource constraints and business demands?
• How are firms moving from isolated GenAI sandboxes to production-grade AI architectures that integrate regulatory obligations, policies, controls and risk management frameworks, what are the blockers?
• What investments and technologies will have the greatest impact on compliance effectiveness?

Moderator: Adrian Sharp, Editor, RegTech Insight, A-Team Group
Andelija Milas, Head of FCP Process and Production, ING
Anand Narayanan, Executive Director – Head of Strategic Initiatives & Program Governance, SMBC Group
Amy Hull, Head of Financial Crimes Compliance, Americas, Marex
Abigail Bitner, Product Marketing Manager, NICE Actimize
Robert Cruz, VP, Information Governance Solutions, Smarsh

Panel: Opportunities for harnessing structured and unstructured data for compliance insight

• How are firms combining structured and unstructured data to gain a more holistic view of compliance risk?
• What opportunities exist to leverage AI and analytics to extract actionable insights from communications, documents, voice and transaction data?
• How can firms improve surveillance, investigations and risk monitoring by breaking down data silos across the organisation?
• What governance, lineage and quality controls are needed to ensure compliance insights are accurate, explainable and defensible?
• How should organisations manage the growing volume of AI-generated content and communications?
• What are the most successful use cases delivering measurable value across compliance, surveillance, financial crime and regulatory reporting?

Moderator: Alex Ford, Co-Founder, Women in RegTech New York (WIRTNY)
Kim Jaffee-Prado, MD, Global Head of Product – GlobalLINK, State Street
Sateesh Kumar Challa, Head of Digital Transformation Office, Societe Generale
Vall Herard, CEO & Founder, Saifr
Stephanie Rubizhevsky, Chief Solutions Officer, Novatus
Representative from Behavox

Sponsor Keynote: Smarsh
Vincent David, Vice President of AI Engineering, Smarsh

Keynote: Breaking the remediation & back reporting cycle

• Why do firms remain trapped in recurring cycles of regulatory reporting remediation, back reporting and regulatory scrutiny?
• What are the root causes of reporting failures, and how can firms address issues at source rather than repeatedly correcting the symptoms?
• How can stronger data quality, governance and controls improve reporting accuracy and reduce the risk of future remediation?
• Where can automation, AI and modern reporting platforms help eliminate manual processes, improve efficiency and deliver more reliable reporting?
• What practical steps can firms take to build a more resilient, scalable regulatory reporting operating model and break the cycle for good?

Andrew Pinnington, Chief Customer Officer, Novatus

Panel: Regulatory reporting: Today’s challenges

• How can firms ensure they are ready for the next regulatory priorities and what does ‘good reporting’ look like?
• Where is the industry on the simplification of OTC reporting and managing reporting across G20 institutions?
• What does the future hold for FINRA CAT, CAIS, Blue Sheets and evolving buy-side disclosure rules (like SEC 13F2)?.
• How are firms reassessing buy versus build decisions as reporting requirements become increasingly complex?
• How are firms using AI and ML in regulatory reporting

Moderator: Mary Kopczynski, Co-Founder, Women in RegTech New York (WIRTNY)
Brett Utnick, Executive Director – Head of Regulatory Oversight Group, Americas, Nomura
Peter Justini, Finance Regulatory Manager, Hudson River Trading
Kenneth Lamar, CEO, Lamar Associates LLC
Nikeeta Julasana, Managing Director, Client & Regulatory Technology, BMO Capital Markets

RegTech Summit New York Innovation Spotlight

Discover the next generation of RegTech innovation as emerging technology providers each take to the stage for a 5 minute showcase. From AI and regulatory reporting to surveillance, financial crime and data management, each company will demonstrate how they’re solving real-world compliance challenges.

Hosted by: Scott Charity, Head of Market Structure, Berenberg

1: AI is making financial crime more sophisticated. Verifica is using it to defend you
Phil Williams, Co-Founder, VeriCasa

2: The hidden cost of assurance: Productivity, meritocracy and the case for continuous assurance
Sayeeka Farnaz, Founder and Principal, Qlogue

3: RegPass: Stop reading regulation, start acting on it
James Nicholls, Founder & Managing Director, RegPass

Keynote Fireside Chat: From Innovation to enforcement: protecting market integrity in emerging Markets

• What are the CFTC’s key enforcement priorities as new market structures, products and technologies develop?
• How is the Commission thinking about market integrity risks in the rapidly developing prediction and event-contract markets?
• What are the most significant risks around manipulation, insider trading and conflicts of interest as these markets mature?
• How should exchanges, trading venues and market participants think about surveillance and controls when traditional market structures are applied to new types of contracts?
• As AI and increasingly sophisticated technology become embedded in trading and market infrastructure, what new enforcement and market-integrity risks should firms be considering?
• What lessons can firms take from recent enforcement activity about the controls, governance and surveillance capabilities regulators expect to see?

Interview with: David I. Miller, Director, Division of Enforcement, Commodity Futures Trading Commission (CFTC)
Interview by: Dessa Glasser, Principal, Financial Risk Group & Independent Board Member, Oppenheimer Holdings Inc

Panel: Managing compliance, surveillance and risk for prediction markets and event-based contracts

• What are regulators focusing on as participation in these markets grows across institutional and retail investors?
• How can firms monitor for market manipulation, insider activity and conduct risk in event-driven markets?
• What surveillance technologies and data sources are required to identify suspicious trading patterns and emerging risks?
• How can firms manage the growing volume of structured and unstructured data associated with prediction markets, social media, news and alternative information sources?
• What role can AI play in improving trade surveillance, investigations and risk detection while maintaining governance and regulatory oversight?

Moderator: Dorothy D. DeWitt, CEO & Founder, Tölt Strategies
Sudhir Jain, Chief Compliance Officer & Head of Regulatory Affairs, Kalshi
Elie Mishory, Chief Regulatory and Legal Affairs Officer, Novig

Regulator Keynote Fireside Chat: From AI innovation to AI supervision: What regulators expect as AI moves into production

• How are supervisors assessing AI deployments across financial institutions today?
• What governance frameworks, controls and human oversight mechanisms do regulators expect firms to have in place?
• How should firms identify and manage risks associated with third-party AI vendors, models and supply chains?
• How can AI be deployed across surveillance, KYC and financial crime compliance while maintaining regulatory confidence?
• What does a defensible AI operating model look like, and how can firms demonstrate accountability and explainability?
• What regulatory, supervisory and risk management developments should firms prepare for over the next 12–24 months?

Interview with: Nick Krafft, Executive Deputy Superintendent of Research and Innovation, NYDFS
Interview by: Penny Cagan, Senior Risk Advisor and Educator

Panel: AI Innovation is outpacing security: Managing cyber, third-party and model risk governance

• How are firms identifying and mitigating emerging AI security risks, including prompt injection, model manipulation, data poisoning and data leakage?
• As organisations increasingly rely on third-party AI platforms, cloud providers and external models, how should they assess and manage supply chain and concentration risks?
• How are firms strengthening operational resilience and ransomware preparedness in an increasingly interconnected technology ecosystem?
• What governance frameworks are needed to manage the risks associated with open-source AI models while still enabling innovation?
• How should firms approach AI model risk management to ensure systems remain reliable, explainable and compliant as they move into production?
• What steps should organisations be taking now to prepare for future cyber threats, including the potential impact of quantum computing on financial services security?

Moderator: David Hirsch, Partner, McGuireWoods LLP
Sabeena Ahmed Liconte, Head of Legal & Chief Compliance Officer, Americas, ICBC Standard Bank Group
Joe Schifano, Managing Director – Trading Compliance and Surveillance, Canaccord Genuity
Gabriel Montague, Chief Information Security Officer, NRG Energy
Ashley Lam, Executive Director Head of Americas Compliance Operational Permanent Risk & Control & Business Management, BNP Paribas

Champagne Roundtable Sessions: These provide a unique opportunity for deep-dive, interactive discussions with peers and industry leaders on some of the day’s most important themes.

1. Building Agile RegTech and Reporting Architectures Across Global Regulatory Regimes

• How are firms managing global regulatory reporting across increasingly divergent jurisdictions?
• How are organisations building scalable RegTech, controls and capital markets data architectures?
• How are firms using RIM, AI and automation to manage regulatory obligations and reporting?
• How can firms future-proof reporting architectures for the next wave of regulatory change?

Host: Ban Ghosh, Director of Technology Strategy, Scotiabank

2. Perpetual KYC and the Evolution of Digital Identity

• How are firms moving from periodic KYC reviews to continuous, event-driven monitoring, and which trigger events are actually proving meaningful?
• How are digital identity, verifiable credentials and reusable KYC changing onboarding and due diligence, and where does accountability sit when another party’s verification is relied upon
• How can firms tackle deepfakes, synthetic identities and AI-enabled identity fraud without adding friction for legitimate clients?
• What governance, audit trail and human oversight are needed to make perpetual KYC defensible to regulators?
• How can firms connect KYC, investor and risk data so that one governed dataset supports onboarding, ongoing monitoring and regulatory reporting?

Host: Geraldine Gibson, Founder and CEO, AQMetrics

3. Governing AI in Financial Services: From Policy to Practice

• How are firms turning AI policies and principles into working controls and oversight?
• Who owns AI risk, and how are accountability and human oversight structured across the business?
• How should firms assess and govern third-party AI models and vendors?
• How can firms prove the value of AI while demonstrating to regulators that it’s safe and explainable?

Host: Victoria Garrity, Head of Risk, Fnality US & representative from Risky Women

4. AI-Enabled Surveillance: Reducing alert fatigue without losing human judgement

• Where is AI genuinely reducing false positives and alert volumes in trade and communications surveillance?
• How can firms apply AI to communications, voice and unstructured data while keeping insights accurate and explainable?
• Where should human judgement remain in the loop, and how do firms evidence that to regulators?
• What do regulators expect to see when AI is used to triage or close alerts?

Host: Nivedita Raghav, Managing Consultant, Technology and Innovation, Wipro Technologies & Risky Women Representative

Ends