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.
Speaker
  • 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

  • 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
Panelists:
  • 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
10:30AM

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
10:40AM

Networking break

11:10AMRoundtable

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
11:50AMThought-Piece

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
12:00PMPanel

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
Panelists
    .
  • 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
12:40PM

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
2:20PM

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
3:10PMROUNDTABLE

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
Speaker:
  • 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
4:50PMPANEL

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
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
5:30PM

Chair’s summary and close of summit

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