Summit Agenda

Real-life RegTech applications to streamline regulatory compliance, bring innovative products to market, and benefit consumers




Chair’s welcome

  • Homa Siddiqui, Chief Operating Officer Compliance & Regulatory Affairs, Credit Suisse
9:10AMKeynote Interview

Review and predictions – a year in RegTech

  • Have developments over the past year been in the areas that regulators, industry participants and consumers wanted?
  • Review of new solutions that have come onto the market, and how they address the key problems faced by financial services firms
  • How RegTech providers, financial services firms and regulators can work together to create holistic solutions, and encourage the continued adoption of RegTech
  • Expected developments for RegTech in the near-term, medium-term and long-term
  • Steve Burman, Managing Director, Global Head of Compliance Operations & Frameworks, Barclays
  • Stamos Fokianos, Managing Director, Global Head eBusiness, Crédit Agricole Corporate & Investment Bank

Implementation and integration of RegTech solutions

  • Sourcing the right RegTech solutions for your specific regulatory challenges
  • Integrating a new RegTech vendor into your existing systems and processes
  • Overcoming short timeframes for implementing new solutions
  • Insights for RegTech providers – how to penetrate financial services firms with new solutions
  • Giles Spungin, Global Head of Operational Risk & Regulatory Compliance Analytics, HSBC
  • Christian Krohn, Head, Compliance & Regulatory Affairs, Europe, Standard Chartered Bank
  • Hany Choueiri, Head of Data Governance & Strategy (CDO), EMEA, State Street
10:30AMRegTech Solution Spotlight

Transaction reporting for MiFID II & EMIR compliance

  • Risk-data aggregation - gathering and analysing information on capital and liquidity for internal models and reports to regulators

LEI status update relative to current and future regulation

  • Overcoming timing constraints to prepare for MiFID II and Prospectus Regulation in Europe
  • How accessing the LEI data pool can aid and simplify your regulatory reporting
  • Required data elements from issuers, investment firms, counterparties and trading venues
  • GLEIF’s strategy to extend the benefits of the LEI for regulatory compliance
  • Stephan Wolf, Chief Executive Officer, Global Legal Entity Identifier Foundation (GLEIF)

Networking break


GRC and data analytics

Network at small tables and join an interactive discussion on the most pressing issues facing your industry. Suggested topics:
  • Ensuring a robust GRC framework that keeps pace with new legislation and the expectations of your stakeholders
    • Getting your systems and controls in place
    • Organising and monitoring your data
  • Data analytics to manage risk and deliver the right outcomes for regulators
  • Establishing common definitions for data governance, and how software providers can build this in
Roundtable leaders:
  • John Turner, CEO, XBRL International

Efficient use of market data for various regulatory reporting requirements

  • Regulatory reporting market data crossover examples
  • Re-use of market data for multiple regulatory reporting requirements, to improve cost-efficiency and future-proof new RegTech solutions
  • Identifying market data content that will be challenging, and might require a centralised repository, in order to meet regulatory reporting obligations
  • Chris Johnson, Senior Product Manager, Market Data, HSBC Securities Services

Making RegTech work for the regulators

  • Has regulatory support for RegTech been at expected levels, and has it catalysed the expected developments in the sector?
  • Live monitoring, IoT and other solutions to improve policy-making
  • Holistically managing data received from financial services firms
  • Identifying unconscious barriers to innovation, caused by regulation, and how this is being tackled
  • RegTech collaborations between regulators and the industry
  • Applying the principles of Global Common Data Standards
  • Impact on data and technology of MiFID II and PSD2 – opportunities and potential barriers
  • How regulators are using taxonomy and machine learning to make regulations more accessible to users
  • Beju Shah, Senior Expert – Regulatory Data, Technology, Bank of England
  • Juan Alberto Sanchez, Head of Section, DG-Statistics – Supervisory Data Management, European Central Bank
  • Nick Cook, Head of Department, Market Intelligence, Data & Analysis, Financial Conduct Authority

Networking lunch

1:50PMKeynote Interview

RegTech for business benefit – improving products and services for consumers

  • Which regulations are driving up costs per unit to a level where firms are abandoning certain product lines or services?
  • To what extent RegTech is benefitting financial services consumers (through increased competition, lower costs and easier access)
  • How RegTech can help firms bring innovative products and services to market
  • Philip Saunders, Managing Director, Goldman Sachs
  • Stephane Malrait, MD, Global Head of Financial Markets eCommerce, ING

Q&A with leading RegTech providers

  • Real-life applications of new, beneficial solutions within financial services firms
  • See what’s in the pipeline from the leading RegTech providers
  • RegTech solutions in the spotlight:
    • Which have the best audit trails, the most transparency, and the highest accuracy?
    • Which are most easily transferrable across new areas or industry sectors?
    • Which software is future proofed against changes in regulation?
3:00PMRegTech Solution Spotlight

Customer identity

Digital Onboarding of Businesses (from Audit Proof to Audit Trail)
    • How to increase efficiency through business digital onboarding
    • Using AI to reduce manual tasks and upscale employee value-add
    • Meeting new regulatory KYB risk requirements (Audit Proof)
    • Remaining ahead of future regulatory requirements (Audit Trail)
    Russell E. Perry, Co-Founder & CEO, kompany
3:10PMIndustry roundtable

Call for Input update from the Financial Conduct Authority

In a series of roundtables, attendees will discuss key RegTech issues impacting the industry and discuss their thoughts on potential solutions and barriers. Following the Call for Input published in 2016, the Regulator is keen to hear thoughts from a wide-range of stakeholders to continue to inform their future work on innovation and RegTech. Outputs from this session will be shared with the Regulator to help shape and inform their thinking. Topics include:
  • Challenges and risks faced by RegTech firms in providing RegTech to financial services firms, and those faced by financial services firms in adopting RegTech solutions
  • Whether any existing regulatory rules, policies and guidance are restricting innovation and the adoption of RegTech solutions
  • Areas where RegTech may deliver outcomes that improve efficiency and transparency
  • How PSD2 and open banking are triggering innovation in regulatory compliance
  • Compliance solutions for open APIs
Roundtable leaders:
  • Nick Cook, Head of Department, Market Intelligence, Data & Analysis, Financial Conduct Authority
  • Kevin Taylor, Managing Director, Group Head of CIB Compliance Strategic Advisory, UniCredit Group
3:50PMRegTech Solution Spotlight

Basel III liquidity risk metrics

4:00PMRegTech solution spotlight

Conduct monitoring

  • Innovative technology to flag up suspicious activities

Networking Break

4:40PMRegTech Solution Spotlight

Modelling, scenario analysis & forecasting

  • Using RegTech to meet regulators’ stress tests

Partnership models

  • Insights into active collaborations between large corporations and RegTech start-ups – overcoming hurdles, and achieving beneficial outcomes
  • How large firms are responding to the RegTech movement, and how they can benefit through collaboration programmes
  • Jean-Marc Guiteau, Chief Compliance Officer, BNP Paribas Securities Services
  • Shaul David, FinTech Consultant, Department of International Trade
  • Oliver Harris, Lead FinTech & In-Residence, J.P. Morgan

Chair’s summary and close of summit

Interactive Masterclass




RegTech for transaction and trade reporting

Firms are working hard to meet regulatory obligations in transparency, product governance and investor protection, among others. This interactive workshop will explore how RegTech can help you to overcome these challenges. You will explore:
  • Re-using data for multiple regulatory reporting requirements, to streamline regulatory reporting, improve cost-efficiency and future-proof RegTech solutions
  • Ensuring a robust governance framework, and getting your systems and controls in place
  • Building a centralised repository, for real-time trade reporting that feeds directly to the regulators
  • What reconciliations and governance can be offered around trades

Networking break


Using RegTech to drive innovation, and improve your products and services

This interactive workshop will examine how RegTech solutions can remove the regulatory barriers to innovation, directly feeding through to improved product- and service offerings, and lower costs, for your clients. Topics include:
  • How (and how much) RegTech can increase competition, lower costs, and grant easier access in the financial services space
  • Which product lines and services are currently being abandoned by firms due to increased regulatory scrutiny, and how RegTech can help to solve this
  • Practicalities of implementing RegTech to bring innovative products and services to market

Networking lunch


Collaboration to drive development in the RegTech space

With recognition that both large firms and RegTech start-ups can benefit from mutual collaboration, this interactive workshop will give you new insights into:
  • Active collaborations between large corporations and RegTech start-ups – how hurdles are being overcome, and which partnership models are showing most signs of success
  • How large firms and RegTech start-ups both benefit through collaboration programmes

Close of day

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