JWG’s RegTech Capital Markets: Getting to Board Level

7 June 2019


08:00 – 08:55 Registration and Networking

08:55 – 09:10 Opening remarks: The boards’ RegTech view PJ Di Giammarino, CEO JWG

09:10 – 09:50 Panel: The impact of a digital regulator 

  • A new approach to regulatory oversight
  • What has the public sector learnt from collaboration with the industry thus far
  • Vision and priorities for 2019

Nick Cook, Director Of Innovation at Financial Conduct Authority

Christian Denk, Head of Banking Supervision Law and International Banking Supervision, Deutsche Bundesbank

Peter Thomas, Senior Manager, Bank of England

09:50 – 10:30 Panel: RegTech 2020: Getting the boards’ priorities right

  • The impact of resetting the bar for compliance across the enterprise
  • Coping with the pace and volume of change via RegSTP
  • Looking ahead at upcoming regulation, where are the big changes, what are the threats and opportunities for new RegTech projects


Alan Blanchard, Business Development, Apiax

Rachel Sacco, Director, BMO Capital Markets (invited)

Helen McCarthy, Vice President, CCO FX Connect MTF and Currenex MTF, State Street Global Markets

Stephan Niermann,Managing Director, Former Chief Compliance Officer JP Morgan AG

Giles Nelson, Chief Technology Officer, Financial Services at MarkLogic

10:30 – 11:00 Networking and coffee

11:00 – 11:50 Panel: The post MiFID RegTech trading data war

  • Consequences, costs and transparency / customer protection remediation priorities
  • The industry’s response to shifts in UK, EU and US rules
  • How budgets will shift to fund additional changes

Julia Kolbe, Director Regulatory Affairs at Deutsche Bank

David Berry, Market Data Global Sourcing, IPUG COSSIOM FISD Exec Committee

Mike Duffy, Managing Director, Markets UK, Santander (invited)

11:50 – 12:30 Panel: AML/KYC – the future RegTech data infrastructure

  • Cross boarder RegTech experimentation with DLT and homomorphic encryption
  • The future of identifiers and common reference data
  • The 1/20 demands of AMLD V on firms to police public sector ownership registries

Anna de Winton, RegTech Consulting at BNP (Invited)

Simon Hornibrook, Global Head of Client Lifecycle Management and Operations, Nomura

Matt Lowe, Senior Technical Specialist at the Financial Conduct Authority


12:30 – 13:30 Lunch

13:30 – 14:10 Panel: Retooling strategies for crumbling reporting infrastructures

  • Moving beyond the legacy drag of batch-driven centralised reporting to DLT
  • Tokenising common rule interpretation via the block chain
  • The promise of collaboration, standards and common reference data
  • Donna Holt, Chief Operating Officer Regulatory Strategy & Business, Credit Suisse


14:10 – 15:00 Panel: AI, ML and NLP in Trade surveillance

  • Best practices for coping with MAR and Dodd Frank
  • Machine learning, behavioural analytics, biometrics and NLP success stories
  • The art of the possible in reducing false positives

Derek Fiore, Director-Compliance Officer – BlackRock

Lee GarfGeneral Manager, Chief Product Officer, Product Executive – NICE Actimize

Alasdair Amos, Head of Surveillance, Europe at Royal Bank of Canada

15:00 – 15:30 Networking and coffee

15:30 – 17:00 Solving for …10 minute spotlight of ‘RegTech in action’ by theme:

  • Surveillance
  • Reporting
  • Risk and controls
  • RegSTP

17:00 Closing remarks (PJ Di Giammarino, CEO JWG)

17:15 Drinks and Networking