2022 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.

2022 Objective

In this conference, leading De Fi, Digital Asset and TradFi SMEs will articulate the key challenges of connecting fast moving private markets to public ones and what RegTech can do to help align shareholder, customer, firm and regulatory interests.

2022 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

TradFi and Digtal asset firms: Front office; Middle office risk, legal and compliance, regulatory SMEs: heads of regulatory change;

Back office: technology, data; Executive decision-makers: CDOs, CIOs, CAOs, COOs

Policy makers and regulators: Market policy, Financial Crime, Data privacy, Regulatory reporting .

2022 agenda

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

Day 1 - 9h November 2022

About the session

As more assets move ‘onto the chain’, TradFi and DeFI compliance trading obligations are moving to on-chain monitoring, AML and investor protection. Digital controls will call into question the role of the custodian, FMI, client and brokers. How can RegTech help join digital and TradFi rails?

Regulatory Challenges

  • Interoperability
  • Standards
  • Data

New RegTech/SupTech drivers

  • Digital integrity
  • Tokenizing compliance
  • Digital supply chains
  • Model-driven controls

About the session

Regulatory frameworks are being adjusted to accommodate digital assets.  TradFi requires legal certainty, standards interoperability and an interoperable infrastructure. Are policy makers, regulators and the market aligned?

Regulatory Challenges

  • EU ParliamentDLT pilot
  • ISOCO De Fi report
  • FCA notice to regulated firms with cryptoassets
  • BoE crypto and De Fi
  • PRA dear CEO letter on cryptoassets
  • BIS DeFi research here
  • E-securities act (DE bonds, funds)
  • CSSF DLT paper
  • Lux: issuance/ settlement on DLT
  • US SEC: no-action letter re: ATS role in settlement of digital assets
  • Tokenized fund law (DE)
  • Digital fund services (DE)
  • US SEC: T+1 settlement proposal

New RegTech/SupTech drivers

  • JWG analysis: US order
  • Digital asset ontology
  • Global ledger interoperability
  • Best practices

About the session

Compliance is being tokenized, workflows are being certified, clients credentialed, and new economic activity stimulated – all with regulatory transparency. However, lots of boxes need to be ticked to establish market trust and confidence. Will digital assets embrace RegTech as a way to embed compliance into the workflow?

Regulatory Challenges

  • Embedding changing rules / tokenization to assets
  • Auditability of compliance rules back to obligations
  • Linking risk control frameworks to a fast moving, interconnected product lifecycle
  • Regulatory reporting
  • Market / Reference data
  • Thid party risk management
  • Operational resilience

New RegTech/SupTech drivers

  • JWG analysis: Wholesale digital finance here
  • Blueprint for CBDC post trade
  • Project Jura: wCBDC settlement
  • Project Atom: wCBDC lending
  • UK Lords econ affairs: CBDC
  • Tokenization of compliance in multijurisdictional settings

About the session

Slow-moving AML/TF and Sanctions policy lags RegTech  capabilities and customer expectations. When will rules take a digital-first approach?

Regulatory Challenges

  • Bank of England – Charting the Future of Post-Trade here
  • Economic Crime (Transparency and Enforcement) Act
  • FATF 40 recommendations here
  • UK sanctions report
  • Post-Brexit UK MLR
  • BIS crypto asset AML
  • Digital Asset standards (e.g., EC travel rule)
  • FATF Virtual Assets 12 month review – travel rule
  • EU ALMA single rule book Regulation
  • EU 6MLD & crypto-asset
  • PISPs as AML obliged entities
  • MiFID III/ ESG Suitability requirements

New RegTech/SupTech drivers

  • JWG economic crime RegTech analysis and RegCast here
  • JWG AML and TM RegTech 2022 analysis here
  • Austrac Financial Crime guide for ransomware here
  • UK ‘systems approach’ to fraud here
  • Closing the UK’s economic crime enforcement gap here
  • Terrorism Financing Risks RUSI paper here
  • RUSI CRAAFT event recording here
  • Supervisory data sharing / MAS COSMIC data sharing
  • Digital Asset standards (e.g., EC travel rule)
  • FATF Virtual Assets 12 month review – travel rule

About the session

Regulators are pursuing ever deeper, challenging questions about how the infrastructure works, where the data goes and how one can prove that the last decade of new obligations are beginning to be met. To what extent will divergent regulatory approaches produce winners and losers?

Regulatory Challenges

  • Divergent policies
  • Accountability regimes
  • Fines and penalty regimes

New RegTech/SupTech drivers

  • Geographic advantages/ disadvantages
  • The regulatory role in glboal standards
  • Firms’ role in alignment of industry practices

About the session

eComms, voice and chain data sets require trade data and market insight to spot manipulation. At the same time, privacy and AI rules are pushing back on holistic approaches. How does RegTech help the 2nd line of defence mitigate risks in the right way?

Regulatory Challenges

  • FCA 05/22 Market Watch 69 – Observations on market abuse surveillance here
  • SEC $80m hacking and trading scheme fine here
  • Electronic communications surveillance fines summarised here
  • On-chain monitoring
  • Best execution
  • Surveillance policy
  • Conduct, culture, AI and data policy

New RegTech/SupTech drivers

  • JWG analysis on Surveillance RegTech 2022 here
  • EU AI act
  • VRT
  • Trade Surveillance
  • eComms surveillance
  • Voice surveillance
  • Chain Analysis
  • SARs reporting

About the session

As more assets move ‘onto the chain’, TradFi and DeFI compliance trading obligations are moving to on-chain monitoring, AML and investor protection. Digital controls will call into question the role of the custodian, FMI, client and brokers. How can RegTech help join digital and TradFi rails?

Regulatory Challenges

  • The evolving regulatory landscape
  • Standards
  • Vendor assessment
  • Ecosystem collaboration
  • Future state architecture targets

New RegTech/SupTech drivers

  • Horizon scanning / digital rule book
  • Policy management
  • Model-driven controls
  • Control standards
  • Digital accountability
  • Digital regulatory reporting
Day 2 - 10th November 2022

About the session

As more assets move ‘onto the chain’, TradFi and DeFI compliance trading obligations are moving to on-chain monitoring, AML and investor protection. Digital controls will call into question the role of the custodian, FMI, client and brokers. How can RegTech help join digital and TradFi rails?

Regulatory Challenges

  • Interoperability
  • Standards
  • Data

New RegTech/SupTech drivers

  • Digital integrity
  • Tokenizing compliance
  • Digital supply chains
  • Model-driven controls

About the session

Regulators have set their sights on better risk information sharing and data collection and 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
  • Completing Basel III and future efforts 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 glossariesto reporting obligations through disambiguated natural language

About the session

New regulation will fundamentally change the landscape for the biggest tech companies for the first time by demanding end-to-end controls.

Regulatory Challenges

  • Operational resilience (UKPS6/21,DORA)
  • Third party/outsourcing (critical third parties)
  • Tech governance (AI Act/DORA) with a privacy/ESG/data governance

New RegTech/SupTech drivers

  • JWG research report forthcoming
  • Streamlined mapping
  • Control checklists
  • Stress testing
  • Standards
  • Board-level risk dashboards
  • industry collaboration

About the session

Regulatory Challenges

New RegTech/SupTech drivers

About the session

2022 will be another critical year for RegTech as the marketplace evolves and regulation evolves with it. Strong planning and co-ordination to align TradFi and digital asset rails. What are the key priorities for 2023 and how should leaders think about charting their future course?

Regulatory Challenges

  • The evolving regulatory landscape
  • Standards
  • Vendor assessment
  • Ecosystem collaboration
  • Future state architecture targets

New RegTech/SupTech drivers

  • Horizon scanning / digital rule book
  • Policy management
  • Model-driven controls
  • Control standards
  • Digital accountability
  • Digital regulatory reporting

To make your decision even easier, early bird discounts are available.

We have a variety of options to fit your needs and budgets.

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Watch presentations live as they happen on any computer or mobile device. Browse Virtual Booths and connect with fellow attendees

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On-Demand

All sessions and Virtual Booths will be available after the conference for 6 months

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