2021 Agenda

For speaking opportunities or to register interest in attending please Contact Us

We strive to create an event which not only discusses the regulatory agenda but encourages strategic conversations on how firms, in conjunction with regulators and trade associations, can avoid the many pitfalls in this space.

2021 Objective

Public and private sector regulatory foundations, rocked by political realignment are being rebuilt post COVID to be more agile, data centric and digital. In our sixth annual conference, JWG explore who is winning the race to digitalize the banking infrastructure this decade.

2021 Virtual Panels

We are crafting the right agenda based on our exclusive research on the real-world policy and implementation challenges in this fast moving space

Target Audience

Regulatory SMEs: heads of regulatory change, compliance, legal, regulatory reporting, regulatory programme owners, etc.

Executive decision-makers: CDOs, CIOs, CAOs, COOs, etc.

Technology: CTOs, heads of eCommerce, heads of IT, etc.

Provisional 2021 agenda. Full agenda coming soon.

For speaking opportunities or to register interest in attending please Contact Us

16th November 2021 – 12.30pm BST to 5.00pm BST
NextGen Digital market winners and losers
Digitalisation of risk data collection
Digital Integrity & your cloud compliant strategy
Digitalisation of capital markets?
17th November 2021 – 1.15pm BST to 5.00pm BST
DRR Keynote
Digital data surgery – will the patient survive?
Managing your risks and controls with RegTech
Digital surveillance and culture audits
Deploying AML RegTech to protect the system
Regulated/Regulator/Technology Priorities
Day 1 - 16th November 2021
12:30
Lunch + electronic feedback collation

About the session

Technology is shifting the borders of financial activity while global regulators purse ever deeper, challenging questions about how the infrastructure works, where the data goes and how one can prove that the last decade of transparency obligations are beginning to be met. To what extent will new asset classes and divergent regulatory approaches produce winners and losers as we move towards digital controls?

Regulatory Challenges

  • BIS annual report here, US CBDC regulatory speech here and UK CBDC speech here
  • CBDC taxonomy of programmable digital money here , Hackathon problem statements here
  • Cross border CBDC – RegCast here
  • EU MiFID III agenda here, HMT Wholesale Markets Review here, Kalifa review of UK Fintech here, UK Mansion House Strategy here
  • EU Digital finance package here (MICA & DORA)
  • Green Finance – ESG

New RegTech/SupTech drivers

  • Divergent UK/ EU MiFID III strategies
  • Crypto currency/ Stable coin/ CBDC /De Fi border control
  • Global ESG efforts
  • Scaling FinTech/RegTech/SupTech
  • Identifiers, standards, accounting and controls

About the session

Regulators have set their sights on better risk information sharing and data collection and JWG argues that Digital Regulatory Reporting (DRR) is here to stay. How will the next decade of transparency force an alignment of granular trade and prudential data collection?

Regulatory Challenges

  • Bank of England transforming data collection from teh UK financial sector here
  • European Commission supervisory data strategy here
  • EBA 430C: feasibility report on the integrated reporting system here
  • Prioritizing post Covid regulatory safety, transparency and accountability needs
  • JWG NextGen regulatory reporting Q2 21 progress update here

New RegTech/SupTech drivers

  • Building macro-pictures, analysis and simulations  straight-through from granular, operational data
  • The measurement-and-analytics chain must be automated for speed; parts of it must perform real-time, global
  • Hard standardisation through infrastructure: one fact, one representation only, accurate real time, used by all
  • Linking business glossaries to reporting obligations through disambiguated natural language
15:30
Break

About the session

New infrastructure rules require banks to set new risk tolerances establish governance, testing and metrics for the cloud. In the EU, regulators will be monitoring risk concentration by individual tech provider. JWG argues that ES’G’ should usher in a whole new set of operational standards and a framework which recognises the value of investment in good RegTech and SupTech. Will cloud and data policy align under global risk control frameworks?

Regulatory Challenges

  • Digital Operations Resilience Act (DORA)
  • UK Operational resilience here 
  • CBUAE, DFSA, FSRA Guidelines for Financial Institutions adopting Enabling Technologies here
  • FCA ‘dear chair’ letter on ESG funds here
  • FCA quantum computing analysis here
  • FSB discussion paper on Regulatory and Supervisory Issues Relating to Outsourcing and Third-Party Relationships
  • ESMA outsourcing to cloud service providers guidelines here
  • The ‘G’ of ESG as a strategic lever to know what ‘good infrastructure’ looks like

New RegTech/SupTech drivers

  • EY IIF risk management survey 2021 research here
  • JWG Cloud regulatory drivers research here
  • JWG Systemic Technology risk blind spot and ESG research here
  • Thomson Reuters Regulatory intelligence: Most significantly regulated industry running on unregulated infrastructure
  • FCA Cyber coordination group findings here 
  • Regulatory Change SME, Legal and Compliance Specialist, IBOR Director

  • Head of Data Governance and Strategy, Financial Technology & Innovation

    ADGM

  • Market Data Exchange Commissions Global Sourcing

    IPUG

About the session

Cries for faster, better, and cheaper access to financial services by millions of investors have shaken the markets this year.  MiFID II’s market infrastructure and post trade transparency regime is being rethought on both sides of the channel while new SEC and CFTC rules are debated. Digitalisation will be key to establishing market trust and confidence with new trading rules, transparency and reporting obligations. What will be the impact of rewiring the markets to accommodate digital demands?

Regulatory Challenges

  • RegCast 7: Democratizing markets here
  • TSS 24: Digital accountability in a democratized finance sector
  • RegCast 3: Digital roars and new regulatory frameworks
  • European Commission CMU/ MiFID III priorities
  • UK Regulatory Framework: Mansion House speech here,  UK Wholesale markets review here, TIGRR here
  • US trading regulatory agenda shifts here
  • Reference data/ pre-post trade transparency: EU data governance act here, UK market data consultation here

New RegTech/SupTech drivers

  • Balance between retail investor protection and retail access
  • Equity, OTC and Commodities venues, SI, Best execution, pre-post trade transparency
  • Post trade transparency and reasonable market data commercials  / consolidated tape
  • Trade and transaction reporting and identifiers
  • Green Finance – TCFD disclosures
Day 2 - 17th November 2021
13:15

About the session

In considering an integrated European reporting framework we have found that a new approach to global regulatory data observation is fundamental to the fulfilment of Supervisory mandates in a digital age. Insights gained from a shared, common view of risk data across the industry will enable regulators to perform their job in the timeframes required while enabling the industry to innovate more effectively and achieve better outcomes for consumers. JWG research shows DRR is finally at a tipping point as firms mobilise to execute on the Digital Regulatory Reporting Agenda. Where are regulators in their journey and do we understand the targets?

Regulatory Challenges

  • JWG BoE data collection findings and 2021 action plan agenda here
  • JWG Core Sup/RegTech reporting infrastructure here
  • JWG CRR2 Integrated Reporting System minutes here
  • Global Derivatives DRR programme here

New RegTech/SupTech drivers

  • CPMI/IOSCO
  • EMIR Refit/ CFTC

About the session

Regulators have begun the process of operating on the data backbone which underpins effective financial sector supervision. New consultations for integrated reporting combined with wholesale market infrastructure tune-ups has created an environment where ‘top down’ risk data aggregation may even meet ‘bottom up’ transactional reporting. Massive data fines and even a cease and desist order has triggered a hard look at firms’ data strategies as BCBS 239 and TRIM seem like last decade’s news. What have we learned and what will get the patient up and running most quickly?

Regulatory Challenges

  • Citigroup cease and desist orders here
  • BIS From data reporting to data-sharing: how far can SupTech and other innovations challenge the status quo of regulatory reporting? here
  • EC supervisory data strategy here
  • EBA 430C: feasibility on integrated reporting here
  • Global dictionary challenges: CPMI/IOSCO, ECB BIRD, Bana d ‘Italia PUMA and APRA connect
  • JWG  and Bank of England data collection findings and 2021 global DRR action plan materials
  • JWG research: RRDS 27 Core Sup/RegTech reporting infrastructure minutes
  • JWG DRR and RRDS progress update here

New RegTech/SupTech drivers

  • Expanding the concept of technology to include language
  • Simplification of data collection requirements
  • Shared SupTech/RegTech reporting core platform requirements
  • Operationalising granular data sharing
  • Global derivatives digital regulatory reporting here 
  • DRR – tipping point 2021 here
  • BIS FSI Insights on policy implementation No 29 From data reporting to data sharing here

About the session

Financial Institutions are being asked to demonstrate true end to end control over their regulatory change management. Regulatory changes on multiple fronts are requiring upgrades to the way projects are done, policies are maintained, reports produced, data quality is checked, agreements are signed and suppliers are contracted. What have leading RegTech implementations shown about what does it takes to put ‘end to end’ solutions in place and what have the benefits been?

Regulatory Challenges

  • Horizon scanning in the face of 28,000 relevant documents per year
  • Risk identification and ownership
  • Control expectations and policy creation
  • Control and procedure design and implementation
  • Compliance reporting and assurance

New RegTech/SupTech drivers

  • A single source of truth and seamless user journeys across hundreds of overlapping rules
  • 360 degree view of all risk perspectives (e.g., Legal risk, Market, Operational risk)
  • Trade association glossaries, industry domain models e.g., CDM
  • Standardised way of working across all three lines of defence, departments and geographies
  • The ability to prove compliance to the regulator including who approved what and why
15:00
Break

About the session

The pandemic had already heightened concerns about market abuse when GameStop ripped open the digital accountability conversation and widened the lens on how firms need to monitor conduct, culture and influencers. Any real notion that working from home meant surveillance could be lighter touch were quickly disabused by regulators and we have also seen hundreds of new AI policy guidelines seeking to control digital behaviour. As the EU, US and UK all revisit market abuse regimes both man and machine are under the microscope – what impact will these obligations have on the lines of defence and how will the technical infrastructure need to adapt?

Regulatory Challenges

  • RegCast 1: Retail Madness, Digitized Markets here RegCast 3: Digital roars and new regulatory frameworks here RegCast 7 Democratizing markets here
  • Key surveillance takeaways from October Hoggett speech here, the MAD/R review here
  • MAR supervisory findings here UK MAR divergence here
  • RegCast 8: Digital Solutions for new culture audits here

New RegTech/SupTech drivers

  • JWG research – The State of Holistic Trade Surveillance here
  • JWG research – Demystifying voice surveillance (Q120)
  • JWG research – Global capital markets AI control framework gaps here
  • JWG research – Digital Accountability in democratized finance here
  • JWG reserach – GameStop, Conduct Risk, Culture and KPIs here

About the session

CEOs are being warned to take AML seriously and new controls are the order of the day. Regulators have worked through many AML data challenges at TechSprints and now provided technology frameworks, company registries have updated their strategies.  What are the data, AI/ML success stories and what RegTech/SupTech relief is on the horizon for thousands of firms?

Regulatory Challenges

  • FCA ‘Dear CEO’ letter on AML failings to be corrected by 17 September 2021  here
  • HM Treasury consultation on Money Laundering Regulations (MLRs) – including the role of new technology here
  • 2021 AML package here 
  • ESG and the rise of ‘green crime’ here
  • FATF stocktake on data pooling, collaborative analytics and data protection here and Suggested actions to support the use of new technologies for AML/CFT here
  • FATF Opportunities and Challenges of New Technologies for AML/CFT here 
  • EBA draft guidelines on supervisory data exchange with FIUs here
  • FinCen Privacy Enhancing Technologies workshop here beneficial ownership non-public database here

New RegTech/SupTech drivers

About the session

  • Future priorities
  • Your questions answered

Regulatory Challenges

New RegTech/SupTech drivers

  • Public sector initiatives
  • Trade association initiatives
  • Standards efforts

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