Separating the facts from the fiction

The only event to separate the 'facts from the fiction' surrounding RegTech and its impact on the financial services industry.  Delegates will not only hear first hand experiences of those driving the RegTech revolution and cast their votes, but also delegates will gain invaluable insight into the current thinking of their industry peers.  And all this with real time results.

A real time and interactive day

All participants will be engaged like never before through our dedicated conference App. RegTech Live will feature a fully interactive, energised day full of thought provoking information and audience participation.  The app will provide opportunities to ask direct questions to speakers in real time, vote on polls, understand the thoughts and sentiments of peers via live heat maps and charts, engage in the competition leaderboard through gamification, and so much more.

RegTech Live will pose and answer real questions and dilemmas impacting the industry through practitioner led sessions.

Have your thoughts heard and understand those of your peers.

 

Opening Comments

What evidence is there that technology solutions are enabling firms operating in the regulated sector to better comply with their regulatory obligations? Is technology able to be leveraged equally across all disciplines? If not, in which areas should firms be more skeptical of the potential benefits?

A pragmatic look at the rise of the RegTech phenomenon to understand what the real potential is behind these new technologies.

speaker

The cost of compliance to mounting regulatory obligations, and even more so the cost of failure, has become a balance sheet significant over recent years. At the same time, margins in many traditional financial products and services have reduced substantially. The challenge for those individuals seeking budget approval to implement regulatory solutions has never been greater.

A review of the key arguments that must be taken into consideration by financial firms when evaluating potential RegTech solutions.

speaker

Despite the urgency with which firms are approaching technology implementations in the regulatory space – multiple factors can potentially derail the most promising of projects.

Firms that have failed to invest significantly in infrastructure over previous years are finding that they now have some structural impediments to deploying the latest available technology. More subtle obstacles may also exist within corporate culture and existing third party approval processes.

A unique perspective on why firms struggle to deploy technology effectively, and what steps they can take to improve their success rate.

“Fact vs Fiction – What is RegTech Delivering Today?” 10:45AM – 12:15PM

speaker

Effective staff training has long been one of the cornerstones of an effective Compliance framework. Measuring and demonstrating the effectiveness of such training post-delivery has remained a challenge. The increased availability of technology solutions to deliver training and capture testing results should allow a greater insight into the way in which employees absorb and interpret information provided to them.

We`ll provide analysis of real life data that shows some of the trends across Compliance populations within the financial service industry today.

speaker

The IT industry states that more than 90% of the data existing in the world today was created within the last five years. Those individuals at the top of an organisation are now facing a deluge of information on which to base their decisions.

The differentiating factor is increasingly the ability to distil and present that data in a way that clearly presents the risk decision to be considered.

A study of current data visualisation techniques being successfully deployed both within the financial services sector and beyond.

Lunch Break A celebration of 'street food' 12:15PM to 13:00PM

Discussion Groups 13.00PM – 14.45PM

Afternoon Theme: What will RegTech be delivering in the Next 12 months and what are the drivers? 14.45PM – 17.30PM

speaker

In an environment of limited resources there is a danger that expensive new technology solutions may add to, rather than alleviate, pressure by generating data which then requires manual investigation or leads to flawed conclusions.

There is also a temptation for firms to be distracted by sophisticated technology or data representations that have limited value in terms of the organisation’s regulatory risk appetite and framework.

A fascinating perspective on some of the limitations surrounding technology solutions in certain situations, as well as some cautionary tales.


 

speaker

Across the entire financial services sector, there is talk of how technology solutions will revolutionise every aspect of the customer lifecycle from automated investment advice - delivered through artificial intelligence - to anti-fraud systems that claim to be able to tell whether an individual on the telephone is who they claim to be.

Within the regulatory space there are potentially endless volumes of data that could potentially be processed in parallel to determine outcomes that currently rely on a Compliance officer’s professional judgment and experience. How close is that reality?

An illuminating session taking a blue-sky approach to the possibilities that RegTech offers in the future and some of the potential pitfalls.


 

16.30-17.30
Wash-up from Discussion Groups and Data Visualisation tracking.  

Closing Remarks, Live Poll and Sentiment Analysis Results 17.30PM – 18.00PM

RegTech Live: A Cocktail Shake Up Lets shake it up 18.00PM – 19.00PM

OUR SPEAKERS

Zia Ullah

Partner, Eversheds LLP. Zia is a financial crime specialist with practical experience in advising senior management on complex legal and regulatory matters focused on AML, Anti-bribery/Anti-corruption (ABC) and international sanctions. Former global head of sanctions at a top tier bank working in the compliance function. Appointed to FCA financial crime Skilled Persons panel. Chambers and Partners recommended (2013- UK wide) as a leading lawyer in the field of corporate crime and investigations.

Damon McMenamin

EMEA Head of Governance and Control in Capital Resolution at RBS based in London. Prior to this, Damon was Head of Financial Crime Operations where he was responsible for Onboarding, Client Due Diligence and Transaction Surveillance across the global investment banking network. Previously, 8 years in APAC with RBS and Barclays Capital working as COO and Head of Equity Operations. Damon has previously been a member of AFISMA and the HKAB and frequently takes part in industry events, in particular, in relation to his specific area of expertise, Financial Crime.

Carlos Nuno Rio

Head of Conduct and Regulatory Affairs EMEA Network, Capital Resolution, Royal Bank of Scotland. Prior to this role, Carlos was in charge of the Southern Europe countries. For more than 17 years, he has developed a diverse background on Conduct, Financial Crime and Risk, including projects such as branch opening process in EU jurisdictions and managing country risk during the Eurozone crisis. He holds an MBA and has also recently completed the executive program on Banking and innovation at IEB in Spain. Carlos is a willing supporter of Fintech firms to help them navigate safely in an increasingly regulated world.

Cliff Moyce

Global Head of Finance Practice at DataArt. Cliff has spent most of his career transforming organisations in financial services and capital markets. Everything from building and launching major new companies to automating trading at Europes largest derivatives exchange to setting up a UK private equity company for a large Japanese conglomerate.

Darren Kellum

Head of Surveillance and Control Room at ICBC Standard Bank PLC. Prior to joining ICBC he worked for Russian state owned investment bank VTB Capital where he was responsible for surveillance and implementing compliance technology. Previous experience includes Barclays Capital, where he spent a number of years in Client Onboarding and then in the Bank`s compliance market abuse technology function. Darren is a member of the Association of Foreign Banks and frequently takes part in industry events, in particular in his area of expertise: Market Conduct and Conflicts of Interest Risk.

Angie Huff

Regulatory Advisory Director. Angie is well known in the City as a technical expert in shareholding disclosures. Over 13 years she has worked at tier 1 investment banks (UBS, Morgan Stanley, Barclays Capital, Deutsche Bank) and was an expert speaker at the SHCOG (Securities Houses Compliance Officers Group) annual conference and was on the advisory board that originally consulted on the design of Rulefinder shareholding disclosure product of Allen & Overy global law firm.

Rob Cutler

Partner, Forensic Services, KPMG. Rob's principal focus is on AML. Prior to KPMG, Rob spent 11 years working for a number of institutions in the City as Head of Financial Crime, and earlier, spent 10 years as a Financial Crime Regulatory Advisor.

Jeremy Round

Managing Director, SQA Consulting Ltd. Prior to SQA, Jeremy was managed data explorations at Barclays Bank and Central Government.

Sara George

Owner, Stephenson Harwood. Sara is a specialist in international and domestic criminal and regulatory investigations into market abuse, insider dealing, fraud and corruption. She is a barrister and former prosecutor at the Financial Services Authority.

Jan Hagen

Managing Director, RFS Financial Crime. Jan has been assisting regulated businesses mitigate financial crime risks for nearly 20 years. He was CEO at the premier anti money laundering advisory firm MHA. Recently, Jan joined RFS to set up a new financial practice to help regulated businesses identify opportunities to benefit from new technological developments to make managing financial crime risk more effective and efficient.

David Buxton

Co Founder and CEO, Arachnys. David is a former Controls Risk investigator who worked on due diligence, anti corruption and fraud investigations in Russia, Ukraine, Kazakhstan and other former Soviet countries.

Prof. Tom Butler PhD MSc BBS

GRCTC, University College Cork. Tom is a former IRCHSS Government of Ireland Research Fellow. He leads a team conducting research on the development and implementation of semantic technologies for governance, risk and compliance in financial services.

Andrew Robertson

Chief Information Officer, MyComplianceIQ

Join a select group of thought leaders and industry practitioners at RegTech Live 2017 to get behind the hype and understand the true value proposition offered by RegTech both today and tomorrow 

Expert speakers will examine and challenge the RegTech phenomenon from a number of different perspectives. Interactive workshop sessions will allow you to get directly involved with your peers and solution providers to understand exactly how far RegTech solutions have managed to penetrate the space so far.

Key Themes

  • RegTech - Defining The Value Proposition
  • Too Much too Soon? - Obstacles to embedding a RegTech Solution
  • Fact vs Fiction - What is RegTech Delivering Today?
  • Workforce Analytics - What Quantum Physics can teach us about our Employees
  • Shining a Light - Using data Visualisation to produce actionable intelligence
  • What will be RegTech be delivering in the next 12 months and what are the drivers?
  • Because you CAN does not make it valuable - Does RegTech actually protect firms?
  • Postcard from Tomorrow - What are the limits of possiblity?

Numbers

TICKETS SOLD
1750 SUBSCRIBERS
17 SPEAKERS

Who should attend?

Regulatory Change PMs/BAs and Technology Partners
explore the actual versus budgeted benefits of embedding RegTech solutions. What are the common obstacles that impede the successful deployment of solutions in practice and what steps should organisations take to smooth this transition?

Compliance and Regulatory Practitioners
explore the true extent to which RegTech solutions are being leveraged in existing Conduct Risk frameworks. Do these solutions materially change the residual risk of those organisations that embed them, and what evidence is available to support them?

Chief Operating Officers / Chief Risk Officers
the cost of regulatory compliance has grown exponentially over the past decade. Likewise, the cost of failure is now considered a balance-sheet significant item. Does the cost/benefit argument for deploying a RegTech solution stand up?

£ 149
/All Day

Early Bird: Financial Institutions

  • BEFORE 27th January, 2017
£ 249
/All Day

Standard: Financial Institutions

  • AFTER 27th January, 2017
£ 949
/All Day

Early bird: Vendors and Suppliers

  • BEFORE 27th January, 2017
£ 1049
/All Day

Standard: Vendors and Suppliers

  • AFTER 27th January, 2017

Frequently Asked Questions

RegTech as become fixed in the vocabulary of regulatory and compliance professionals around the globe over the past 12 months. From the promise of instant customer on boarding to real time transaction monitoring, the potential benefits attributed to RegTech solutions has spawned a new generation of vendors and solutions promising to revolutionise the way in which institutions ensure compliance with their regulatory obligations. Expert speakers will examine and challenge the RegTech phenomenon from a number of different perspectives. Interactive sessions will will allow delegates to get directly involved with their peers and solution providers to understand exactly how far RegTech solutions have managed to penetrate the space so far and in the future.
March 2017. City of London. Times: 08:30 to 19:00. Refreshments, lunch and after conference cocktails are also included in the conference fee.
The early bird fee for financial services practitioners is 149.00 until 2nd September, 2016. Thereafter, the fee is 249.00
The early bird fee for non financial services practitioners is 949.00 until 27th January, 2017. Thereafter, the fee is 1049.00
Regulatory Change PMs / BAs and Technology Partners; Compliance and Regulatory Practitioners; Chief Operating Officers and Chief Risk Officers.

OUR SPONSORS

Sponsorship opportunities

There are some very exciting opportunities available for RegTech vendors.

Would you like to be a sponsor?

Would you like to be a sponsor?

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