Agenda

STREAM A- MAY 14
STREAM B- MAY 14
STREAM C- MAY 14
EARLY-STAGE REGTECH FORUM- MAY 12
REGTECH GROWTH FORUM - MAY 13
COMPLIANCE CXO FORUM- MAY 15

KEYNOTE PANEL: FINANCIAL INSTITUTIONS LEADERS’ PERPECTIVE: REVIEWING THE REGULATORY LANDSCAPE AND THE ROLE OF REGTECH

  • What is on the top of the agenda for compliance leaders? Is it the weight of the regulation itself or the ability to respond?
  • With key regulations overlapping, how do you priorities response?
  • In a market saturated with RegTech companies, how do you know what to outsource and what selection criteria do you apply? What is the risk of buying external RegTech solutions?
  • To what extent is there scope for regulatory technologies to evolve towards utility status and who should drive this?
  • What are the limits of these next-generation technologies being applied to labour-intensive compliance practices?

PANEL DISCUSSION: REGTECH TO IMPROVE FRAUD & FINANCIAL CRIME COMPLIANCE

  • What are the use cases and applications in which technology can help organisations be protected against financial crime, AML and fraud?
  • How can financial institutions identify the right technologies and how can they prove their efficiency?
  • What can financial institutions do from the data analysis perspective to reduce fraud, crime and AML risk?
  • What are the challenges with managing the implementation of these new technologies to protect us?
  • How do you make sure you are using the most advanced, cutting-edge technologies against financial crime and you are being compliant without compromising the user experience of your customers?
  • What are regulators implementing and doing to help organisations operate in today's environment with growing cases of financial crime?

PANEL DISCUSSION: REGTECH FOSTERING SM&CR COMPLIANCE

  • With the implementation of the Senior Managers & Certification Regime (SM&CR), what steps are regulated financial institutions taking towards meeting its requirements?
  • How is technology being used as a workable solution to achieve and maintain SM&CR compliance?
  • How can firms choose the right technology partner to help fulfil this compliance obligation most efficiently?
  • What challenges are financial institutions facing with meeting this regulation?

PANEL DISCUSSION: REGULATORY REPORTING AND DATA MANAGEMENT

  • How do firms use technology and data to ensure their regulatory reporting remains up to date and as efficient as possible?
  • What has been the role of the regulator in the regulatory reporting initiative?
  • How is the legislation MMFR and MMSR impacting the industry and where do we see it driving challenges with firms?
  • How is the industry embracing RegTech in reporting as data complexity continues to grow?
  • What does Securities Financing Transactions Regulation (SFTR) mean for financial institutions and how have they got ready for it going live in 2020?

PANEL DISCUSSION: RESHAPING RISK MANAGEMENT WITH REGTECH SOLUTIONS

  • How do you see the role of the Chief Risk Officer evolving?
  • How are market factors, such as changes in regulation and advances in technology, having an impact on risk management?
  • What benefits and advancements do technologies such as AI and ML have on model risk management? What are the challenges and limitations of implementation?
  • How does outsourcing solutions and collaborating with 3rd party vendors add value to financial institutions without increasing the operational risk profile?
  • What do you think are the exciting opportunities for RegTech impacting institutions financial risk management today and in the future?

PLENARY PANEL DISCUSSION: REGULATORS ROLE IN THE ADOPTION OF REGTECH

  • What approach is the regulator taking to RegTech?
  • What are the regulatory initiatives in a bank that have helped promote the RegTech agenda?
  • To what extent has regulation hindered and/or improved a firm’s ability to expand and develop their RegTech capabilities?
  • Where do you think it would be helpful for regulators to focus next to support innovation in regulatory compliance and the adoption of RegTech?
  • Do you think regulators could move quickly or prioritise differently to support innovation and to manage the emerging risks of RegTech?

PLENARY PANEL DISCUSSION: NEW TECHNOLOGIES (AI, ML & BLOCKCHAIN) TO SOLVE REGULATORY PROBLEMS

  • Where do you see the major deployments of new technology with regards to RegTech? And what are the biggest benefits beyond cost reduction and efficiency gains?
  • Based on your experience how can AI, ML & Blockchain vendors and startups help financial enterprises to manage their regulatory processes?
  • What are key success factors from vendors/suppliers for the deployment of technologies for RegTech solutions?
  • Where do you see the future of AI, ML & Blockchain in RegTech five years from now?

PANEL DISCUSSION: ENHANCING CUSTOMER EXPERIENCE BY AUTOMATING KYC AND ONBOARDING

  • How can digitization achieve cost efficiency and effectiveness in KYC compliance?
  • What technology solutions are being leveraged to transform KYC and onboarding?
  • What are the challenges banks are facing with enabling digital onboarding?
  • How are changes in regulation and technology standards having an impact on this process?
  • How can we ensure security and strong customer authentication with increased focus on offering a fast and seamless onboarding experience?
  • What will be the future of digital KYC?

PANEL DISCUSSION: GDPR, DATA SHARING AND DATA PRIVACY CONTROLS IN AN AI WORLD

  • Two years on from GDPR implementation, has the reality reached up to the anxiety of what was expected?
  • How has GDPR changed how we think about storing and managing data?
  • What is the role of RegTech as a solution to enable GDPR?
  • What are the data protection concerns as a result of the adoption of AI and how can they be addressed?

PANEL DISCUSSION: REGTECH SOLVING THE CHALLENGE OF CORRECT IMPLEMENTATION OF PSD2

  • What do the new rules implemented for Strong Customer Authentication (SCA) mean for firms and why have there been challenges meeting the deadline?
  • Why was the open banking deadline of September 2019 not a smooth transition as we hoped for APIs in the market meeting the quality requirements of PSD2?
  • Has open banking taken off or are consumers holding back on adopting open banking solutions?
  • What activity would you like regulators to undertake to assist in making open banking and SCA work more effectively?
  • How are RegTech solutions helping financial institutions comply with PSD2?

PANEL DISCUSSION: REFLECT ON MIFID2 IMPLEMENTATION 2 YEARS ON AND IMPACT ON THE FINANCIAL MARKET

  • What is our overall assessment of MiFID2 two years after its implementation in January 2018?
  • Why is MiFID a relevant advocacy priority in the post implementation period?
  • Where has there been true innovation in the journey from MiFID1 to MiFID2? And has innovation been client led or in reaction to regulation, and has it brought any benefit?
  • Will there be a MiFID3?
  • What is the current state of play on the adoption of RegTech in the financial market and how can they leverage it fully going forward?
  • What does it take to develop a RegTech solution to help businesses comply with MiFID2?

PANEL DISCUSSION: CORPORATE INVESTMENTS & COLLABORATIONS WITH REGTECH STARTUPS & SCALE-UPS

  • How are RegTech companies opening up opportunities for banks to leverage compliance investments for additional business benefit?
  • What should startups look for when choosing a VC investor?
  • How can financial institutions evolve into more effective partners?
  • What are the differences in the way corporates assess potential investments in RegTech companies compared to VC investors?
  • What factors are vital to achieve meaningful successful partnerships between financial institutions and RegTech startups and scale-ups?
  • What are the key challenges corporates face when they look to harness and invest in RegTech?

PRODUCT DEMOS (Part 1)

Demos from 22 of the most innovative RegTech companies (startups, scale-ups and established providers) that every financial company needs to know about.

OPENING PANEL DISCUSSION: PERSPECTIVE ON THE REGTECH MARKET

  • What are the challenges and tribulations early-stage RegTechs face?
  • Who and what is out there helping early-stage RegTechs overcome these challenges?
  • How do RegTechs assess partnerships with banks?
  • What are early-stage RegTechs looking for when choosing the right VC backers?
  • How do RegTech companies expand from POC to rollout and without VC backing?

Panel discussion: VC perspective

  • What have VCs found in the RegTech space over the past few years and have they seen what was expected? What are the predictions for where the RegTech market is going in the future?
  • What are the factors to determining potential RegTech winners and what are VCs looking for when making investments?
  • What's the biggest challenge VCs regularly face in working with early-stage RegTechs?
  • How can different supporting actors work together?
  • How do you differentiate yourself as an investor?

Panel discussion: From RegTech start-up to scale-up: The challenges of scaling up

  • Are the ingredients to a RegTech company’s current success enough to get them to the next level?
  • How can RegTech scale-ups deliver commercial opportunities?
  • What partnerships RegTechs should be looking for to drive their profit and growth?
  • How can RegTechs overcome the long sale cycles barriers?
  • Is it better to expand internationally or focus locally?

Keynote panel discussion

A panel discussion bringing together leading compliance professionals from global financial institutions sharing their perspective from the top level, on the industries current regulatory concerns and how to address these challenges:
  • What are the current concerns for the CCO’s at leading financial institutions with continuous regulatory pressures and technology advancements? What priorities are on the top of their agenda?
  • How can compliance leaders overcome these threats to leverage opportunities for their growth prospects?
  • What is the biggest challenge that comes with meeting regulatory requirements and what is the advice you want to share based on your experience?

Moderated roundtable discussions

All tables will be provided with a chairperson and topic for debate. Topics will include the issues the compliance office in financial institutions are currently facing:
  • Continuing regulatory change and recognising the volume and breadth of regulation
  • Knowing the customer: concerns about money laundering
  • Increasing emphasis on compliance culture
  • Cyber exposure and how to deal effectively with the cyber threats
  • The MiFID2/R review is now underway – what to expect in MiFID3 and when
  • Balancing compliance and commercial demands when implementing regulatory change for multiple regulations
  • Why SM&CR is bigger than MiFID II
15585

Would you like a FREE RegTech Investment Summary report?

Before you go...

Leave your email and we will send it over!