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
Interviewed by:
  • Ben Richmond, Executive Board Member and the Chapter President, UK & Ireland, IRTA

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
  • Sarah Clark, VP, Product and Customer Success, Mitek Systems
10:25AMRegTech Solution Spotlight

Using Artificial Intelligence to Make Sense of Challenging & Competing Regulations

  • How AI, machine learning, and trading and communications data can holistically reveal previously concealed risks, while meeting the regulatory mandates of MAR, MiFID and GDPR, protecting your firm from conduct related risk, and protecting the rights of the individual.
  • Gordon McKenzie, Vice President International, Digital Reasoning
  • Tony​ ​Sio​, ​Head of Nasdaq SMARTS Market Surveillance​, ​NASDAQ

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)

Making regulation intelligent

  • How the FCA is turning to technology to update its practice
  • Creation of the world’s first intelligent regulatory handbook
  • Artificial Intelligence in financial services
  • John Byrne, CEO, Corlytics
  • Alan Blanchard , Senior Associate, Financial Conduct Authority

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
  • Richard Pike, CEO, Governor Software
  • Ahed Abdelky, Financial Crime Technology Expert Allianz SE
  • Patrick Boscher, Financial Crime Technology Coordinator, Allianz SE
  • Paul Cummins, Managing Director, StoneRock Advisors
  • Shane Brett, Founder, GECKO Governance
  • Nicola Cowburn, Chief Marketing Officer, Qumram
  • Evgeny Likhoded, CEO & Co-Founder, ClauseMatch
  • Guy Levit, Chief Executive Officer, TeleMessage Ltd

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, Head of Data Collection and Publication, Technology, Bank of England
  • Juan Alberto Sanchez, Head of Section, DG-Statistics – Supervisory Data Management, European Central Bank
  • Jane Jee, CEO, Kompli Global
  • Nick Cook, Head of Department, Financial Conduct Authority

Networking lunch

2:10PMKeynote 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
  • Homa Siddiqui, Chief Operating Officer Compliance & Regulatory Affairs, Credit Suisse
Interview by:
  • Jane Jee, CEO, Kompli Global

Q&A with emerging 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?
  • Homa Siddiqui, Chief Operating Officer Compliance & Regulatory Affairs, Credit Suisse
  • Carl-Henrik Thorsen, VP Head of Sales, ClauseMatch
  • ​Rohini Gupta, Founder, FinReg E-cyclopedia
  • Ralf Huber, Co-Founder, Apiax
  • Iona Murray, Marketing Lead, Wallet.Services
3:10PMRegTech Solution Spotlight

Digital Onboarding of Businesses (from Audit Proof to Audit Trail)

  • Increasing 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
3:20PMIndustry 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:
  • Richard Pike, CEO, Governor Software
  • Shane Brett, Founder, GECKO Governance
  • lan Blanchard , Senior Associate, Financial Conduct Authority

A Practical Example of AI and RegTech in Action

  • The Rise of AI & RegTech
  • Applying AI through RegTech to enable regulatory compliance at scale
  • Ben Richmond, Founder & CEO, CUBE

Networking Break


Innovation out of Ireland​: Anticipating the next big developments

  • Richard Pike, CEO, Governor Software
  • Shane Brett, Founder, GECKO Governance
  • John Byrne, CEO, Corlytics

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
  • Ian Hollowbread, CAO Office, ING
  • 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
  • Nirvana Farhadi, Global Head, Financial Services RegTech, Risk & Regulatory Compliance Affairs, Hitachi Data Systems

Chair’s summary and close of summit

Interactive Masterclass




Why collaboration and partnership are essential to success for many RegTech models

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
Workshop leader:
  • Jane Jee, CEO, Kompli Global

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
Workshop leader:
  • Russell E. Perry, Co-Founder & CEO, kompany

Networking lunch


Applying Analytics to Regulations and Regulatory Outcomes

    This masterclass allows attendees to understand the value of the application of analytics and taxonomies to regulations and to regulatory outcomes. The interactive section of the course will concentrate on making sense of Regulatory Enforcements – the legal case outcomes as a result of regulatory actions. The course is intended to give attendees an appreciation for how analytics and taxonomies can be used to extract intelligence from regulatory communications, and as a result make their efforts as compliance, legal and risk professionals more productive.
Workshop leader:
  • Mike O’Keeffe, General Manager, Corlytics

Close of day

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