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
  • Anthony Dell, Advisory Board Member & Chair of COO Roundtable, Integra Ledger



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

  • 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
  • Erin Piatek, Senior Manager - Regulatory Risk & Technology Compliance, Macquarie Group
  • Adam Weiner, Vice President, AQR Capital Management
  • Roni Mizrahi, Head of Technology Risk & Regulatory Management, Barclays Investment Bank
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
  • Pamela Pecs Cytron, Founder & CEO, Pendo Systems

Networking break


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

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
  • 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
  • Arlington Gordon, Vice President, Financial Crimes Risk Review, JP Morgan

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
  • Bradley Giemza, Chief Technology Officer, MUFG Union Bank

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
  • 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

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

Keeping on top of regulatory policy obligations

    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

Networking break

4:20PMRegTech solution spotlight

Conduct monitoring

  • Innovative technology to flag up suspicious activities

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
  • 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
  • Roseanne Lazer, Compliance Officer, North America, TransferWise

Chair’s summary and close of summit

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