November 8, 2017. New York

RegTech Summit US

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

November 8, 2017. New York

The RegTech sector has raised $3bn across more than 400 deals since 2012, with nearly 80% of deal activity in the US. These technologies can ensure regulations are efficiently applied, while protecting both consumers and margins for financial institutions.

In a market that is crowded with noise about the rise of RegTech, ECN’s RegTech Summit US has a reputation for delivering top quality insights and connections.

RegTech Summit US will be held alongside a full-day ID & KYC Summit US, which will take place in New York on November 7, 2017.

Banks and financial institutions

Apply for a free guest place*

*A single complimentary place is available to a limited number of financial institutions, at ECN’s discretion. Financial institutions includes banks, investment managers, hedge funds, private equity firms and insurance companies. Complimentary places are not available for consultancies, law firms or software vendors.

Key topics for 2017:

  • Transaction reporting solutions for MiFID II and EMIR compliance
  • Using RegTech to bring innovative products and services to market
  • Which RegTech solutions have the best audit trails, transparency, accuracy and scalability
  • Re-using market data, to streamline reporting and future-proof new solutions
  • Live monitoring, IoT, and other ways to improve policy making
  • Collaborations between large firms and RegTech start-ups

Specifically designed for:

  • Heads of Compliance
  • Heads of Regulatory Reporting
  • Heads of Regulatory Change Management
  • Chief Risk Officers
  • Heads of Market Data
  • Heads of Regulatory Data
  • Chief Technology Officers
  • Heads of Innovation
  • Heads of Audit

What people said about last year's event:

“ECN’s RegTech Summit was a terrific conference addressing the most timely and important RegTech issues. Combining panels with interactive discussions made the conference extremely useful.”Jodi Golinsky, General Counsel & Chief Compliance Officer, FS Card

 

“The summit was incredibly valuable. The discussions and networking opportunities were some of the best I have experienced. It was the best use of my day, and I’ll refer back to the event for a long time to come.” Colin Bennett, Head of Digital Distribution IT, GAM Fund Management

 

“Having exhibited at both the fantastic London and New York RegTech Summits I can highly recommend both for the quality of discussions and caliber of attendees. Directly based on the positive feedback we received at the 2016 US RegTech Summit we decided to open our first international office in New York (in Jan 2017)”Shane Bret, CEO, GECKO Governance

#regtechsummit

Network with decision makers from:

  • Banks
  • Investment Manager
  • Hedge Funds
  • Private Equity Firms
  • Trading Firms
  • Insurance companies
  • PSPs
  • RegTech Providers
  • Regulators
  • Auditors
  • Consultants
  • Law Firms
  • Exchanges

Sponsors

Senior Sponsor

Senior Sponsor

Supporting Sponsor

Supporting Sponsor

Exhibitor

Exhibitor

Super Early Bird tickets are currently available from $499*. Join us in New York in November 8.

Speakers

Well known industry leaders

Summit Agenda

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

7:30AMRegTech solution showdown

Breakfast briefing

This lively, facilitated breakfast briefing will examine the latest real-life RegTech applications, how RegTech can benefit your clients, and how it can help you bring innovative products and services to market. It will provide a highly valuable framework for the day’s discussions. The session is designed to give you clear takeaways and highlight practical steps forward.
  • Information-sharing between group members
  • Industry thought-piece
  • Facilitated, structured discussion
  • Feedback and summary
8:30AM

Registration

9:00AM

Chair’s welcome

Ruth Wandhofer, Global Head of Regulatory & Market Strategy, Citi Transaction Services
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/clients 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.
Speakers:
  • Bob Walsh, Deputy Chief Compliance Officer, Chief Financial Crime Officer, Chair of the US Compliance Committee AXA Group
  • Annu Warikoo, Global Head Enterprise Risk Identification Wells Fargo
9:50AMPanel

Implementation and integration of RegTech solutions

  • Winning the hearts and minds of the people in the trenches, who are doing the work that will be affected by new RegTech solutions
  • Running compliance like a business - using metrics, KPIs, ROI, and other quantitative and qualitative methods to demonstrate the results of certain RegTech solutions
  • Using RegTech to better understand the nuts and bolts of your compliance program
Panelists:
  • Anthony Dell, Partner & Global Chief Compliance & Ethics Officer, Ares Management
  • Erin Piatek, Senior Manager - Regulatory Risk & Technology Compliance, Macquarie Group
  • Adam Weiner, Vice President, AQR Capital Management
10:30AMRegTech solution spotlight

Transaction reporting for Dodd-Frank and MiFIR compliance

  • Risk-data aggregation - gathering and analyzing information on capital and liquidity for internal models and reports to regulators
10:40AM

Networking break

11:10AMRoundtable

GRC & data analytics

Network at small tables and meet your industry peers in a unique setting. 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
    • Organizing 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:
  • Paul Caulfield Executive Vice President, Chief Compliance Officer, Israel Discount Bank
  • Joseph Lodato, Global Head of Compliance Technology & Surveillance, Guggenheim Partners
  • Adam Weiner, Vice President, AQR Capital Management
  • Annu Warikoo, Global Head Enterprise Risk Identification, Wells Fargo
  • Bradley Giemza, Chief Technology Officer, MUFG Union Bank
11:40AMPANEL

Regulatory innovation – making RegTech work for the regulators

  • How RegTech can make improve policy-making, make regulations more accessible to users, and help regulators to be more innovative
  • RegTech collaborations between regulators and the industry
  • Holistically managing data received from financial services firms
  • How RegTech can deal with complicated and/or vague regulatory definitions
  • Applying the principles of Global Common Data Standards
  • Impact on data and technology of Dodd-Frank and MiFIR – opportunities and potential barriers
Panelists:
  • Ryan VanGrack, Senior Advisor to the Chair, U.S. Securities & Exchange Commission (SEC)
  • Matt Homer, Senior Policy Advisor - Digital Finance, U.S. Global Development Lab, USAID
  • Special Counsel to a Board Member, Public Company Accounting Oversight Board (PCAOB)
12:20PM

Networking lunch

1:20PMKeynote 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
Speakers:
  • Bradley Giemza, Chief Technology Officer, MUFG Union Bank
2:00PMPANEL

Implementation and integration of RegTech solutions

  • Sourcing the right RegTech solutions for your firm, and integrating them into your systems and processes
  • How RegTech providers can penetrate financial services firms with new solutions
  • Using cloud to deliver RegTech Solutions
  • Using RegTech to overcome challenges in providing data
  • Getting management to accept the ROI of new RegTech solutions
Panelists:
  • Joseph Lodato, Global Head of Compliance Technology & Surveillance, Guggenheim Partners
  • Ron D’Vari, Executive Chairman, CIO & Co-Founder, NewOak
  • Alexander Abramov, Head, Information Risk, Markets, Large Financial Institution
  • Roni Mizrahi, Head of Technology Risk & Regulatory Management, Barclays Investment Bank
2:40PM

Q&A with leading RegTech providers

  • How new solutions can be applied within financial services firms
  • See what’s in the pipeline from emerging 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?
3:10PMRegTech solution spotlight

Customer ID & KYC

  • Using technology to sign up new customers more quickly and make the onboarding process more user friendly
Speakers:
  • Russell E. Perry, Co-Founder & CEO, kompany
3:20PMROUNDTABLE

Industry policy contribution

    Network at small tables and join an interactive discussion on the most pressing issues facing your industry. Suggested topics:
  • Managing the enablers and barriers to the adoption of RegTech
  • Understanding the level of overlap between different regulations, and how RegTech can use this information to streamline the compliance process
  • Regulatory compliance change management – keeping track of regulatory changes
  • RegTech solutions to facilitate compliance with the fundamental review of the trading book
Roundtable leaders:
  • Schan Duff, Senior Fellow, Financial Security Program, The Aspen Institute
  • Marcy Sharon Cohen, Managing Director - General Counsel & Head of Regulatory Affairs ING Americas
  • Roseanne Lazer, Compliance Officer, North America Transferwise
3:50PM

Networking break

4:20PMRegTech solution spotlight

Conduct monitoring

  • Innovative technology to flag up suspicious activities
4:30PMPANEL

Partnership models and collaborations

  • 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 programs
  • How firms (e.g. money transmitters) can use technology to share the right level / type of information with their partners, enabling them to meet their regulatory compliance obligations
  • Collaborating on AML issues – using RegTech to amalgamate client data, and overcome the limitations that arise when each firm does AML independently
Panelists:
  • Hemathri Balakrishnan, Global Head of Platform Architecture, Compliance & Regulatory Affairs, Credit Suisse
  • Shawn Melamed, Managing Director - Global Head of Technology Business Development & Innovation, Morgan Stanley
  • Stefan Dicker, Open Innovation Manager, Rise New York, Barclays (tbc)
  • Roseanne Lazer, Compliance Officer, North America, TransferWise
5:10PM

Chair’s summary and close of summit

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What people will tell you about previous ECN events

  • Having exhibited at both the fantastic London and New York RegTech Summits, I can highly recommend the quality of discussions and caliber of attendees. Directly based on the positive feedback we received at the RegTech Summit US, we are opening our first international office in New York

    Shane Bret

    Shane Bret

    GECKO Governance
  • ECN’s RegTech Summit was a terrific conference addressing the most timely and important RegTech issues. Combining panels with interactive discussions made the conference extremely useful

    Jodi Golinsky

    Jodi Golinsky

    FS Card
  • The summit was incredibly valuable. The discussions and networking opportunities were some of the best I have experienced. It was the best use of my day, and I’ll refer back to the event for a long time to come

    Colin Bennett

    Colin Bennett

    GAM Fund Management
  • Great event for those participants in the RegTech space. It was well moderated and covered a broad diversity of topics. Good mix-up between panels and roundtables. Great emphasis and interaction.

    Tyler Morris

    Tyler Morris

    8of9

Special rates

Special rates for Vendors and members of Financial Institutions

Deal!

Super Early Bird

$499
  • Group booking
  • Sales end on August 18
  • Financial institutions only
Book now
Free

Guest place

Free
  • *A single complimentary place is available to a limited number of financial institutions.
Book now
Deal!

From September 23

$1,199
  • Vendors/Service providers/Consultant
  • Limited tickets
Book now

Get in touch for custom group bookings

*A single complimentary place is available to a limited number of financial institutions, at ECN’s discretion. Financial institutions includes banks, investment managers, hedge funds, private equity firms and insurance companies. Complimentary places are not available for consultancies, law firms or software vendors.

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Interested in becoming a sponsor?

If your company is interested in sponsoring this year's RegTech Summit, please contact Rebecca Martin on rebecca@eventcreationnetwork.com or call + 44 20 3397 7462. We will get right back to you with information and our sponsorship brochure.

Summit venue

November 8, New York

New York Marriott Marquis

1535 Broadway, New York, NY

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