JWG’s RegTech Capital Markets: Getting to Board Level

7th June 2019


08:00 – 08:55Registration 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


Speakers :

  • 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,  PRA Data Innovation

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


Speakers :

  • Alan Blanchard, Business Development, Apiax
  • John Neasham, Director Chief Data and Innovation Office, Deutsche Bank
  • Andrew Bayley, Director - Data and Reporting, ISDA
  • Helen McCarthy, Vice President, CCO FX Connect MTF and Currenex MTF, State Street Global Markets

10:30 – 11:00: Networking and coffee

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

  • The costs and quality of pre and post trade transparency data
  • Making sense of market reference data and the consolidated tape
  • Setting RegTech strategies now for MiFID III and US changes


Speakers :

  • Martin Gould, Director - Regulatory Reform Implementation at Citi
  • Julia Kolbe, Director Regulatory Affairs at Deutsche Bank
  • Stéphane Malrait, Managing Director and Global Head of E-Commerce for Financial Markets – ING Bank
  • David Berry, Electronic Execution Services Global Sourcing, IPUG COSSIOM Exec Committee
  • Michael Duffy, Managing Director, C&IB, Santander

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

  • Distributed analytics for transaction monitoring leveraging privacy enhancing technologies (PETs)
  • Identifying real-time financial crime networks via unstructured data and SARs
  • Sharing KYC data cross market participants (Zero Knowledge Proofs)
  • AMLDV's 2020 demand for beneficial ownership data  'feedback loops' to central registries
  • Linking a single version of the business truth for AML/KYC policy to controls and evidence


Speakers :

  • Anna de Winton, Senior Manager , Reg Tech Consulting BNP
  • Samantha J Sheen , Managing Director at Ex Ante Advisory Limited
  • Eric Wu, Financial Crime Tech, Revolut
  • Edgar Lopez-Rojas, Fraud Analytics Expert, Simudyne

12:30 – 13:30 : Lunch

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

  • Assessing the effectiveness of current reporting infrastructures post Q1 FCA fines
  • Data quality assurance for MiFID II, EMIR Refit and SFTR’ s third party matching providers (TPMPs)
  • The promise of collaboration, standards and common reference data via Digital Regulatory Reporting


Speakers :

  • Donna Holt, Chief Operating Officer Regulatory Strategy & Business, Credit Suisse
  • Richa Khadelwal, Executive Director, Regulatory Operations, Goldman Sachs
  • Andrew Rourke, Head of Delivery and Optimisation, Trade Data Quality and Reporting, HSBC Global Banking and Markets
  • Karthik Rajaraman, Product Owner - Post Trade, Lloyds Banking Group
  • Giles Nelson, Chief Technology Officer, Financial Services, MarkLogic

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

  • Best practices for coping with trading regulation like MAR and Dodd Frank and Culture and Conduct regulation
  • Machine learning, behavioural analytics, voice, biometrics and NLP success stories
  • The art of the possible in reducing false positives and getting to integrated surveillance


Speakers :

  • Derek Fiore, Director-Compliance Officer – BlackRock
  • Paul Taylor, Senior Director – Digital Reasoning
  • Lee GarfGeneral Manager, Chief Product Officer, Product Executive – NICE Actimize
  • Paul Clulow-Phillips, Managing Director – Co-Global Head of MARK Compliance, Global Head of Capital Markets Surveillance at Societe Generale C&IB

15:00 – 15:30: Networking and coffee

15:30 – 16:15: Solving for …10 minute spotlight of ‘RegTech in action’ by theme:

  • Advanced Fraud Analytics with Cloudera and Simudyne, Justin Lyon, CEO and Founder, Simudyne
  • Sanction screening and Due diligence using Virtusa's Open Innovation Platform (OIP), Kumar Raju Kosuru, AD, Capital Markets, Virtusa
  • Solving for Compliance & Reporting using Agile Visualization Tony Higgins, CTO,  Blueprint Software

16:15 - 16:25: RegTech Council evolution

  • Recap of the past 2 years of the collaborative non profit


Speakers :

  • PJ Di Giammarino, Chair, The RegTech Council

16:25 - 17:00: What’s next for the RegTech Council?

  • State of the RegTech market – are we at an inflection point
  • Key lessons learnt and plans for evolution
  • Desired outcomes from18 June RegTech Council Plenary number 9


Speakers :

  • William Graham, Director, Technology & Operations - BlackRock 
  • Adriana Ennab, Director | Public Policy  – Credit Suisse
  • Ian Hollowbread, Director | CAO Enterprise Office – ING
  • Mukund Umalkar, Director Innovation (London Lab) - Commonwealth Bank

17:00 - 17:15:  Closing remarks

17:15 : Drinks and Networking