Leveraging technology to drive innovation, cut costs and support regulatory change.


  • trading technology
  • FRTB
  • GDPR
  • KYC & AML

Registration and Networking over Coffee


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


KEYNOTE PRESENTATION : The RegTech opportunity : what it means for your business

  • Defining RegTech
  • New technologies for banking regulation
  • Return on your regulation investment
  • Challenges for the banking CTO and the RegTech CEO

Brad Giemza, Managing Director, CTO, MUFG Union Bank 


KEYNOTE USER PANEL: Overcoming the barriers to RegTech

  • Making the business case: Cost vs. benefit - assessing which RegTech solutions are right for your firm and will fit your operating model
  • Getting compliance on board and managing the different stakeholders involved - what conversations should you be having?
  • Encouraging innovation and culture change in large organisations with legacy Systems, siloed data/ technology and a lack of a joined up approach across the business
  • The need for collaboration to move forward 

Nikhil Aggarwal, FinTech Entrepreneur in Residence, iValley Innovation Center
Thomas Dunlap, Managing Director, Goldman Sachs 
Tammy Eisenberg,
 Director, Investment Management Risk & Compliance, BNY Mellon


Morning break and visit to exhibition area






RegTech Showcase

5 minute demos from selected technology innovators showcasing their regulatory compliance solutions

Demo 1: Domus Semo Sancus (DSS)
E. Jay Saunders, Chairman & CEO, Domus Semo Sancus (DSS)

Demo 2: LEI Smart
Ben Lis, Founder, LIS Smart

Demo 3:

Demo: 4


Networking Lunch in the Exhibition Area

Regulatory focus

Chaired by: Andrew Delaney, CCO, A Team Group

BUY-SIDE PANEL: Embracing RegTech to meet regulatory compliance for SEC's modernization regulations and liquidity risk management: Adjusting to a new reporting normal

  • How can RegTech help firms understand the rules and develop policies around those rules?
  • How can RegTech help firms aggregate, normalize and format appropriate templates/forms for regulatory reporting and disclosure?
  • Assessing resources to meet requirements: Build in-house or use a third party?
  • To meet the requirements of liquidity risk management programmes: How should firms develop analytics to calculate liquidity?
  • Managing the challenges around sourcing and understanding historical and market pricing data

Moderated by: Predrag Dizdarevic, Partner, Element 22
Suvrat Bansal,
CDO, UBS Asset Management
James Wallin, SVP, Fixed Income, AllianceBernstein


New innovations for optimal regulatory compliance

Chaired by: TBC

PANEL: Applying innovative technologies to manage risk and improve onboarding, KYC and AML 

  • How well are firms streamlining KYC as part of onboarding and AML to create competitive advantage?
  • Using new digital identities for KYC and onboarding as part of the digital transformation agenda 
  • What progress are we seeing with the application of AI and Machine Learning to speed up and improve efficiency of the KYC, Onboarding, AML and ATF (Anti Terrorist Financing) due diligence processes?
  • How does technology help firms manage financial crime risks better and apply a more effective risk-based approach?
  • A new model for KYC? To what extent can blockchain and DLTs revolutionise the KYC and Onboarding process?

Moderated by: Nikhil Aggarwal, FinTech Entrepreneur in Residence, iValley Innovation Center
John Sproat
, U.S. Head of Data Management & Global Head of Client Data & Know Your Customer Operations, RBC Capital Markets, LLC
Kelvin Dickenson
, VP Compliance and Data Solutions, Opus
E. Jay Saunders,
Chairman & CEO, Domus Semo Sancus (DSS)




PANEL: How can RegTech help turn the MiFID II burden into opportunity?

  • Harmonised data for consistent reporting: with the squeeze on costs how can RegTech improve data collection, data normalisation and data quality
  • Progress on data standards for reporting:LEIs and ISINs
  • Integrating RegTech into existing infrastructure and legacy systems: data and technology challenges 
  • Applying lessons learnt from MiFID II to CAT reporting
  • Real time analytics and tools to help firms optimize compliance efforts
  • Post Implementation: How can RegTech help rationalize reporting and improve controls post Jan 2018?

Moderated by: John Mason, Global Head, Regulatory & Market Structure Propositions, Financial & Risk Division, Thomson Reuters

Robin Doyle, Managing Director, Office of Regulatory Affairs, J.P.Morgan Chase
Brian Buzzelli, SVP, Head of Data Governance, Acadian Asset Management
Julia Bardmesser, Global Head of Data Integration, Deutsche Bank


PANEL: Building the right toolbox for your surveillance activities

  • What is the right approach: No one size fits all: the importance of aligning with your business model
  • How do you organise - should the front, middle or back office take responsibility?
  • What is the right balance of legacy reporting technology vs. new technology?
  • Controls and privacy concerns about surveillance: How much monitoring do you want to do?
  • Assessing the effectiveness of surveillance programs

Moderated by: Chris Montagnino, Director of Compliance Services,  Jordan and Jordan
John Malitzis, Chief Surveillance Officer & Deputy General Counsel, Citadel 
Tony Brownlee, Partner, Head of Data Science & Research, Kingland
Cromwell Fraser, Vice President, Communications Compliance Line of Business, NICE



Networking and refreshment break


Panel: GDPR: A game changer - are you ready?
GDPR applies to any firm with EU clients, investors or employees and the fines for non compliance are enormous.  This insightful session will lay out the key provisions and practical steps for implementation.  
  • Data management challenges: Identifying private data, customer consent management, building privacy by design, data governance
  • Designing and building a workflow for GDPR compliance 
  • Managing your supply chain and working with 3rd parties
  • What should a GDPR technology solution look like to minimise counterparty risk?

Zoe Strickland, Managing Director, Global Chief Privacy Officer, JPMorgan Chase
Leigh Feldman
, Managing Director, Head of Privacy and Information Compliance; Global Chief Privacy Officer, Citi
Nathan Snyder,
Partner, Brickendon Consulting 


PANEL: Fundamental review of the trading book (FRTB): A transformational opportunity 

  • Tackling the key data and data management requirements in preparing for FRTB; managing non modellable risk factors 
  • Challenges around identifying time series data 
  • How could the modeling elements of FRTB impact trading desks?
  • What technology infrastructure upgrades are required?
  • How much of FRTB should you automate vs. keep as manual process?
  • What are the implementation priorities for 2018?

Moderated by: Ken Walker, Managing Director, State Street Global Exchange
Connie Zhang, Vice President, Enterprise Risk Management & Chief Data Office, Bank of China
Vinod Bhaskaran, Solution Lead, Treasury & Capital Markets, Finastra


RegTech Summit for Capital Markets Industry Awards & Networking Drinks 

Please note: This programme is subject to change.

Thanks to all our Sponsors




Showcase Sponsor

Lunch Sponsor


Become a sponsor

Want to sponsor RegTech to make real connections with senior decision makers?

We offer a comprehensive selection of sponsorship opportunities which provide a superb platform for you to raise your corporate profile, be seen as thought leaders, conduct highly valuable face-to-face networking, and generate real sales leads.

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]

James Blanche
Tel: +44 (0)7899 392 992 / +44 (0) 20 7096 0387
Email: [email protected]

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Join the RegTech Summit for Capital Markets New York City on 16th November 2017

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Got a question?
Get in touch

Become a sponsor
Jo Webb

+44 (0)7468 560 555
[email protected]

James Blanche
+44 (0)7899 392 992
+44 (0) 20 7096 0387
[email protected]

Interested in speaking?
Lorna Van Zyl
+44 (0)20 7078 4875
[email protected]

Bring your team
Ron Wilbraham

+44 (0)20 8090 2055
[email protected]

  • UK: +44 (0)20 8090 2055

  • US: +1 646 290 7488

The RegTech Summit for Capital Markets New York City is organised by A-Team Group, producers of