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



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.
  • 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

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
  • Anthony Dell, Partner & Global Chief Compliance & Ethics Officer, Ares Management
  • Joseph Lodato, Global Head of Compliance Technology & Surveillance, Guggenheim Partners
  • Ron D’Vari, Executive Chairman, CIO & Co-Founder, NewOak
  • Erin Piatek, Senior Manager - Regulatory Risk & Technology Compliance, Macquarie Group

RegTech 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

Networking break


GRC & data analytics

Join a lively discussion with fellow attendees on the most pressing issues facing the industry. Network at small tables and meet your industry peers in a unique setting. Topics include:
  • 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:
  • Joseph Lodato, Global Head of Compliance Technology & Surveillance, Guggenheim Partners
  • Annu Warikoo, Global Head Enterprise Risk Identification, Wells Fargo

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 centralized repository to meet regulatory reporting obligations

Regulatory innovation – Making RegTech work for the regulators

  • How RegTech can make regulations more accessible to users
  • How RegTech can help regulators to be more innovative
  • RegTech collaborations between regulators and the industry
  • Has regulatory support for RegTech been at expected levels, and has it catalyzed the expected developments in the sector?
  • Live monitoring, IoT and other solutions to improve policy-making
  • Holistically managing data received from financial services firms
  • How RegTech can deal with complicated and vague regulatory definitions
  • Identifying unconscious barriers to innovation, caused by regulation, and how this may be tackled going forward
  • Applying the principles of Global Common Data Standards
  • Impact on data and technology of Dodd-Frank and MiFIR – opportunities and potential barriers
  • Matt Homer, Senior Policy Advisor - Digital Finance, U.S. Global Development Lab,/li, USAID
  • Zoe Sharp, Special Counsel, Public Company Accounting Oversight Board (PCAOB)
  • Ryan VanGrack, Senior Advisor to the Chair, U.S. Securities & Exchange Commission (SEC)
  • Corinna Madder, Managing Director, J.P. Morgan Asset Management

Networking lunch

1:40PMKeynote 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

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 ID & KYC

  • Using technology to sign up new customers more quickly and make the onboarding process more user friendly

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
  • Marcy Sharon Cohen, Managing Director - General Counsel & Head of Regulatory Affairs ING Americas
  • Schan Duff, Senior Fellow, Financial Security Program, The Aspen Institute
3:50PMRegTech solution spotlight

Basel III liquidity risk metrics

4:00PMRegTech solution spotlight

Conduct monitoring

  • Innovative technology to flag up suspicious activities
4:40PMRegTech solution spotlight

Modeling, scenario analysis and 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 programs
  • Collaborating on AML issues – using RegTech to amalgamate client data, and overcome the limitations that arise when each firm does AML independently
  • 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

Chair’s summary and close of summit

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