Enabling Innovation in Regulatory Compliance



Registration and Networking over Coffee


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


Opening Keynote: The global state of RegTech and what is to come - a view from Citibank

  • The relationship between RegTech and the regulatory landscape
  • Examples of RegTech solutions
  • RegTech trends, challenges and hurdles for adoption
  • How Citibank is shaping innovation policy

Sophia Bantanidis, EMEA Head of Regulatory & Market Strategy and Citi Accelerator Mentor, Citi
Women in Finance Awards - Shortlisted for Fintech Champion of the Year 2018 
Women in FinTech Powerlist 2017



RegTech Industry Leaders Panel: Overcoming the barriers and enabling RegTech

  • Exploring the barriers to regtech adoption: getting management buy in, proving ROI, resistance to innovation and change, lack of industry standards
  • How to evaluate the marketplace and conduct vendor due diligence to minimize risk on solutions that aren’t fully proven
  • Partnerships and collaborations : key success factors
  • Skills and talent needs emerging in the industry

Moderated by: Andrew Delaney, Chief Content Officer, A-Team Group
Abel Picardi, Managing Director, Compliance, Bank of China 
Travis Skelly,
SVP, Venture Investing, Citi Ventures
Roxanna Wall, Executive Director,Group Risk Control - Strategic Development, UBS
Nikhil Aggarwal, Director, Promontory Financial Group, an IBM Company



Keynote: Connecting the risk data ecosystems

Organizations create, consume and source immense volumes of data as part of everyday business, operations, yet only a relatively small part of that overall data is typically available to the practitioners in Risk and Compliance management functions. New applications of data technology are drawing more insights from available datasets. Whether structured or unstructured data, the importance of integrating these various risk data sets, forming useable risk data ecosystems, and deriving meaningful information for business and operational decision making, is paramount for effective risk and compliance.

Join us in this session as we explore:

Key considerations in identifying data relationships and what risk ecosystems exist today
How risk data ecosystems can be connected and what is involved
A use case application of a risk data ecosystem for AML and financial crime

Steve McDonald, Head of Market Development, Risk & Compliance Solutions, Refinitiv


Networking and refreshment break


Panel: Best practices for regulatory reporting efficiency

  • Approaches to solving the data management challenges from current and incoming regulations for reporting (CFTC Swaps Reporting, SEC Reporting Modernization)
  • Improving the quality, consistency and standardisation of data: The latest on identifiers and messaging standards – ISO 20022, LEIs, ISINs, CFI codes
  • The potential for distributed ledger technologies to facilitate the efficient exchange of data between all reporting stakeholders
  • Beyond compliance: How are firms using analytics and emerging technologies to gain insights for added business value?

Moderated by: Robin Doyle, Managing Director, Office of Regulatory Affairs, JP Morgan Chase 
Richard Berner
, Executive in Residence & Adjunct Professor, NYU Stern; Former Director Office of Financial Research (OFR)
Raymond Hanson, Managing Director, Global Head of Global Markets Program Delivery & Regulatory Technology, Credit Suisse
Peter Moss, CEO, SmartStream RDU
Maryse Gordon, Senior Pre Sales and Business Development Manager, UnaVista, London Stock Exchange Group
Rob McGowan, Head of Sales, North America, RegTek Solutions 


RegTech Innovation Showcase
5 minute pitch from a RegTech Solution provider
Moderated by: Dale Richards, President, Island 20 Ventures 

Pitch 1: Fortia Financial Solutions
Miroslav Petrov, Product Director and Co-Founder, Fortia Financial Solutions

Pitch 2: Exactpro

Elena Treshcheva, Business Development and Researcher, Exactpro


Panel: Getting ready for the Consolidated Audit Trail (CAT)

  • How are firms addressing the significant data and data management challenges for CAT reporting: data sourcing from different systems, getting customer data right, improving data quality and accuracy for reporting
  • Managing the concerns around data protection and data security around the CAT
  • Designing an effective cloud architecture to respond to CAT

Moderated by: Tom Jordan, CEO, Jordan & Jordan 
Joshua Beaton,
 Head of Americas Trade and Transaction Reporting, Morgan Stanley
Srini Masanam, Head of Trade Surveillance and CAT Program, Jefferies 
Maria Zeckhausen, Director, Equity Technologies Americas Strategic Project Management, Credit Suisse
Salvatore Sferrazza, Solutions Architect, Google


Networking Lunch in the Exhibition Area


Keynote: Garbage in, garbage out – why Reg “Tech” is only half the answer

  • RegTech can go a long way to helping you to meet your regulatory obligations
  • But as MIFID II has proved, accurate data is the foundation upon which everything is built
  • How will regulatory reporting evolve?
  • How can you ensure that you are prepared for this shift?

Peter Moss, CEO, SmartStream RDU


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?
  • Barriers and obstacles to using AI
  • Trustability and transparency of AI & Big Data Analytics - having the right governance and controls in place when working with third parties to manage data privacy and data protection
  • AI and cyber security risks in an evolving threat landscape: how to keep up

Moderated by: Dale Richards, President, Island 20 Ventures 
Ali van Nes, SVP, Senior Director, Regulatory Solutions, Factset
Viktoriia Samatova, Vice President, Head of Research and Product Development (Quantextual), State Street
Mary Jane Ajodah,
Vice President, FinTech Strategy & Partnerships, Chief Digital Office, BNY Mellon
Vuk Magdelinic,
CEO, Overbond


RegTech Innovation Showcase 
5 minute pitch from a RegTech Solution provider
Moderated by: Predrag Dizdarevic, Partner, Element 22

Pitch 1: AutreTech
Nicholas Decker, Managing Director, Decker Capital Management
Gennady Belov, Head of R&D, AutreTech

Pitch 2: ETF Logic 
Lindsey Tewell, Head of Sales, ETF Logic 


Networking break and visit to the exhibition area


Panel: Fighting financial crime, Improving AML & KYC

  • Role of RegTech in helping improve inefficiencies in AML & KYC 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)?

Moderator: Sandeep Jain, Director, PwC
Laura Glynn,
Director of Global Regulatory Compliance, Fenergo
Grant Patrick, Director, Global AML Officer, Napier Park Global Capital 
Justus M. Howley, Director / Regional Head - Global Markets Client Integration, KYC Recertification & Support and Operations Client Relationship Management teams, BNP Paribas Securities Corp.
Kevin Bogdanov, Director of Market Development, Americas, Refinitiv
Joon Pak, Head of Blockchain, ComplyAdvantage


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: Breana Patel, Founder & CEO, Bonova Advisory Inc.
Paul Barkan, SVP, Chief Risk Officer, Newtown Savings Bank
Charmian Simmons, Risk Expert, Refinitiv 
Wesley Moore, Founder & CEO, Quarule
Tim Sweeney, SVP North America, Corlytics



Networking Drinks 

Please note: This programme is subject to change.

Thanks to all our Sponsors




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Find out how you can sponsor or become an exhibitor, or to ask a question, contact:

Jo Webb
Tel: +44 (0)7468 560 555
Email: [email protected]

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Jo Webb

Tel: +44 (0)7468 560 555
Email: [email protected]

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Lorna Van Zyl
+44 (0)20 7078 4875
[email protected]

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Ron Wilbraham

+44 (0)20 8090 2055
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The RegTech Summit New York City is organised by A-Team Group, producers of