Enabling Innovation in Regulatory Compliance


New information for 2019 coming soon.


Registration and Networking over Coffee


Chair’s Opening Address: Andrew Delaney, Chief Content Officer, A-Team Group


Opening Keynote: Will market players and RegTech collaboration solve regulation implementation challenges?

  • The relationship between regtech and the regulatory landscape
  • Does the industry need to collaborate to create real impact within RegTech?
  • Do we need more practical examples of RegTech delivering value within institutions – How can we best demonstrate value?
  • Examples of how to collaborate better with RegTech companies across regulatory ecosystems

Stephane Malrait, MD, Global Head of Market Structure and Innovation in Financial Markets, ING


RegTech Industry Leaders Panel: Overcoming the barriers and enabling RegTech

  • Exploring the barriers to Regtech adoption
  • How to evaluate the marketplace and conduct vendor due diligence to minimise risk on solutions that aren’t fully proven
  • Partnerships and collaborations: key success factors
  • The evolving role of the compliance officer

Moderated by: Andrew Delaney, Chief Content Officer, A-Team Group
Kevin Taylor,
 Managing Director, Head of Compliance for Europe and Asia Pacific, TD Bank
Nicole Sandler, Vice President (VP), Fintech and Regtech - EMEA Legal Lead, Barclays
Jean-Marc Guiteau, Global Head of Regtech Innovation & Development, BNP Paribas Securities Services
Beju Shah,
Head of Data Collection & Publication, The Bank of England 


Keynote: The future of fighting financial crime

Money laundering is a truly global phenomenon. Amount of illicit proceeds from criminal activity is estimated to account for 2-5 % of global GDP, yet less than 1% is seized of frozen by law enforcement in the financial system. Data protections rules impede information sharing between the public and private sector. In this keynote you will hear:

  • What is the true cost of financial crime and how can government, society and business help to drive change?
  • What are the best practices for public and private information sharing to fight financial crime?
  • How to manage complex and sometimes conflicting regulatory regimes (GDPR vs AMLD

Che Sidanius, Global Head of Financial Regulatory & Industry Affairs, Thomson Reuters


Networking and Refreshment Break


Panel: The potential and promise of AI and Machine Learning in RegTech

  • Where are we seeing the most progress with AI solutions helping to solve regulatory compliance? Has the application of AI and DNN (Deep Neural Networks) lived up to the claims of greater accuracy for speech to text?
  • Barriers and obstacles to using AI
  • Trustability and transparency of AI - having the right governance and controls in place when working with third parties to manage data privacy and data protection
  • AI systems: How to make strong AI without bias and bring fairness to predictive models
  • AI and cyber security risks in an evolving threat landscape: how to keep up

Moderated by: Sophia Bantanidis, EMEA Head of Regulatory & Market Strategy and Citi Accelerator Mentor, Citi
Giles Spungin, Managing Director, Global Head of Regulatory Compliance and Operational Risk Analytics, HSBC
Nigel Guy, Programme Delivery Director - Data Warehouse and Analytics, Quilter Plc
Ariane Nabeth Halber, Director, Speech Solutions Strategic Line, Bertin IT
Rahul Pal, Technology Consultant, Bank of England 


RegTech Innovation Showcase
5 minute pitch from a RegTech Solution provider
Moderated by: Sarah Underwood, Editor, A-Team Group

Pitch 1: Shield Financial Compliance
Shiran Weizman,
Co-Founder and CEO, Shield Financial Compliance

Pitch 2: Exactpro
Iosif Itkin
, CEO and Co-Founder, Exactpro


Panel: Best practices for regulatory reporting efficiency

  • Getting ready for SFTR & EMIR REFIT: Ensuring your reporting infrastructure is ready 
  • Improving the quality, consistency and standardisation of data: The latest on identifiers and messaging standards – ISO 20022, LEIs, ISINs, CFI codes
  • Laying the foundations for granular data reporting: how are firms addressing the challenges of data collection, ensuring infrastructures are fit for purpose?
  • The potential for distributed ledger technologies to faciliate the efficient exchange of data between all reporting stakeholders
  • How are firms using analytics to slice and dice to gain insights beyond regulatory compliance for added business value?

Moderated by: James Phillips, Global Head of Regulatory Strategy, Lombard Risk 
David Masters, Chief Data Officer - SGIL (UK) & Global Prime Services, Societe Generale
Suriya Subramanian, Consultant, BNY Mellon
Daniel Percy-Hughes, Principal Consultant, Synechron
Tom Morris, Head of Sales - Europe, RegTek Solutions 


Networking Lunch in the Exhibition Area


Keynote: Systematic Internalisation Under MiFID II: What's Needed Now

  • The MiFID II SI regime
  • Why firms decide to become SIs
  • The regulatory reporting challenges they face
  • How trading firms fit into the regime
  • SI solutions from the Smart Stream RDU

Peter Moss, CEO, SmartStream RDU


Panel: Towards sustainable MiFID II compliance

  • SI regime: is there a role for regtech in helping firms meet SI obligations?
  • Meeting pre and post trade transparency requirements: 
      reviewing ongoing reference data challenges
      how can regtech help firms analyse data and report?
  • Meeting the data management requirements for Best Execution reporting
  • Data optimization: How are firms exploiting data sources created by MiFID II to generate value for the business?
  • Has your approach to regulation changed post MiFID II?

Moderated by: Gouri P Khatua, Regulatory Consultant, Grant Thornton
Nicholas Philpott, Head of Market Structure, Standard Chartered Bank
Martijn Groot, VP Product Management, Asset Control 
Peter Moss, CEO, SmartStream RDU
Malavika Solanki, Member of the Management Team, Derivatives Service Bureau


RegTech Innovation Showcase 
5 minute pitch from a RegTech Solution provider
Moderated by: Michael Dooijes, Managing Director, Startupbootcamp FinTech & Cybersecurity

Pitch 1:
Gideon Driori,
CEO & President,

Pitch 2: Insiderlog
Mazdak Shiasi,
Chief Operating Officer, Insiderlog



Panel: Fighting financial crime, Improving AML and KYC

  • Role of RegTech in helping improve inefficiences in AML processes
  • How can RegTech act as a bridge to GDPR?
  • What are some of the different public-private partnership and information sharing models being seen in this space?
  • How are firms leveraging digital identities for faster onboarding, improved user experience and to meet KYC compliance?
  • Challenges around onboarding clients and mitigating risk when dealing with crypto currencies and distributed ledger technologies (inc.Blockchain)?

Moderated by: Denisse Rudich, Strategic Advisor in Financial Crime, Firedrake Limited
Anu Ratan, Senior Global AML Policy and Advisory Manager, Tier 1 Banks
Targ Patience,
Group Chief Compliance Officer, Gibraltar Stock Exchange 
Aoife Harney, Regulatory Consultant, Fenergo
Che Sidanius,
Global Head of Financial Regulatory & Industry Affairs, Thomson Reuters 


Networking and refreshment break


Panel: The evolution of trade surveillance

  • What are the drivers behind the adoption of trade surveillance systems
  • Managing the challenges of tracking and storing multi-channel communications (whatsapp, text, social); internal policies of tracking
  • Effective voice communications surveillance for regulatory compliance
  • Developing in-house surveillance techniques vs. using third parties
  • Managing the challenges of ‘false positives’ - high number of inaccurate alerts being generated
  • ​The role of AI & ML in helping deliver better solutions?

Moderated by: Mike O’Hara, Partner, The Realization Group
Justin Nathan, Chief Technical Surveillance Officer, Credit Suisse
Nuno Hortensio,
Independent Voice Communications Specialist
Helen Bevis, EMEA Head of Compliance Solutions, NICE Actimize
Andy Mather, EMEA Financial Services Industry Specialist, Telstra


Panel: Creating a regulatory change management framework to manage risk and navigate change

  • How are firms developing capabilities to help anticipate risk, track and analyse regulatory updates
  • Reviewing progress towards standards-based semantic technologies and machine-readable texts for interpreting regulatory change from the regulators and market participants?
  • Ensuring a robust compliance framework by creating a common regulatory taxonomy
  • Key success factors for implementing regulatory change in a proactive way

Moderated by: Nicola Cowburn, Chief Marketing Officer, International RegTech Association (IRTA)
Colin Ware
, Regulatory Product Manager, BNY Mellon
Rabya Anwar,
Head of Regulatory Change and BREXIT, Investment Management Firm
Philip Fry,
VP Product Strategy, Verint
Jamie March, Global Proposition Manager, Thomson Reuters


Networking and Drinks Reception

**Agenda subject to change **



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Ron Wilbraham

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The RegTech Summit London is organised by A-Team Group, producers of