RegTech Summary

Agenda

THE REGTECH CONFERENCE OF 2017

Hear from 30+ experts in finance, government, compliance, and technology.

Connect with leading experts, thought-leaders, innovators, and investors.

Preview start-of-the-art technology.

 

Monday, Nov. 27   |   Tuesday, Nov. 28   |   Wednesday, Nov. 29

 

MONDAY, NOV 27

1:30-6:30 p.m.
Registration Open [Foyer]
2:00-5:15 p.m.
Demo Day and Welcome
2:00-6:30 p.m.
Speaker-Ready Room Open
5:15-7:00 p.m.    
Networking Reception in Exhibit Area

 

TUESDAY, NOV 28

7:00-8:30 a.m.
Continental Breakfast
7:00 a.m-
5:30 p.m.
Registration Open
7:30 a.m.-
7:00 p.m.
Exhibit Area Open
8:00-8:15 a.m.
Welcome and Opening Remarks
8:15-9:15 a.m.

Opening Plenary Session: RegTech Outlook

Moderator: Andrew L. Sandler

Chairman and Chief Executive Officer, Temerity Capital Partners

Session Description: The Conference kicks off with a moderated discussion among some of the most experienced and successful entreprenuers and thought leaders in the financial services industry on the challenges and opportunities ahead for the full realization of automated compliance solutions to advance regulatory compliance while growing top line revenue and expanding financial access.  This session will kick off the important discussions to follow on many seminal topics including how top investors identify and evaluate RegTech offerings and forecast regulatory opportunities and impediments to successful implementation and share their perspective on the path forward towards full acceptance and implementation of RegTech by regulators and the financial services industry.

9:15-10:00 a.m.

Lessons from Abroad
 

Moderator: Jo Ann Barefoot
Chief Executive Officer, Barefoot Innovation Group

  • Nick CookHead, RegTech and Advanced Analytics, Financial Conduct Authority (FCA)
  • Viviana Garza, Director, RegulationBank of Mexico

Session Description: RegTech has been growing faster outside the U.S. than within, partly because regulators, themselves, are driving it forward. In this session we'll hear from two of the world's leading regulatory officials in the regtech space. They will share their insights about technology's potential to transform financial regulation and compliance, what they hope to accomplish, where they have chosen to start, and how they are designing their initiatives. They'll talk about the most promising areas for change, and describe new ways of working with industry and with other countries. They'll also pinpoint key challenges for regulatory bodies, lessons they have learned so far, and advice for other policymakers.

10:00-10:30 a.m.
Refreshment Break [Exhibit Area]

10:30-11:30 a.m.
Concurrent Sessions

Lessons from Abroad: RegTech Innovation


Moderator: Jo Ann Barefoot
Chief Executive Officer, Barefoot Innovation Group

Session Description: This session offers a window on the rapid growth of regtech outside the United States, offering lessons from global trends. The speakers will look at both regtech for regulators and for industry compliance, including the emergence of global regtech organizations; leading use cases; efforts to create uniform standards and interoperability; and impacts on the developing world as we approach universal financial inclusion through mobile services. The panel will grapple with some of the pivotal challenges emerging in the space, including how new European rules protecting consumer data are likely to transform markets worldwide, and efforts to assure that AI is used in ways that can win public trust. The session is a learning shortcut to envisioning how U.S. regtech is likely to look when RegTech Enable returns next year.

Third Party Risk Management: Challenges to Innovating in a Highly Regulated Environment
 

Moderator: Andrew Burt
Chief Privacy Officer and Legal Engineer, Immuta

Session Description: The constantly evolving global economy, rapidly shifting technological and business landscapes, and increased threat of cyber-attacks present challenges to financial institutions that are more complex than ever.  Financial institutions are increasingly relying on third parties to innovate and reduce costs, resulting in new kinds of risk.  Regulators have responded to this trend by emphasizing the need for effective third-party risk management. Our panel of experts will discuss the benefits and risks associated with selecting and managing third party service providers, common gaps in third party contract management processes, examples of how new solutions and technologies can help organizations optimize their third party processes, and effective strategies for managing risk.

11:30-11:45 a.m.
Break [Foyer]

11:45 a.m.-
12:30 p.m.

Outlook from the Hill
 

Moderator: Governor Tim Pawlenty
President & Chief Executive Officer, Financial Services Roundtable and Former Governor of Minnesota

Featured Guests

Session Description: No two senators have spent more time building bi-partisan efforts on financial regulation than Senators Corker and Warner. Both bring practical business perspectives to financial policy and an embrace of technological change. Hear what’s possible and what’s likely to emerge from Capitol Hill on financial regulation and whether legislation can act as a spur to innovation in the financial sector.

12:30-1:45 p.m.
Networking Luncheon [Exhibit Area]
1:45-2:45 p.m.
Concurrent Sessions
Regulators & RegTech: Solving for Regulatory Impediments to RegTech Innovation
 

Moderator: Kenan Rodrigues
Partner, Oliver Wyman

Session Description: The RegTech solution space is nascent but evolving quickly.  This session will discuss a range of questions on RegTech solutions, benefits, impediments and lessons learned.  What are the key RegTech solution segments and how are they likely to evolve?   What benefits can financial institutions and regulators derive from RegTech?  What are the major impediments to adoption?  And finally, what lessons have been learned in terms of overcoming these impediments?

Bank Innovator Partners

 

Moderator: Alex Acree
Managing Director and General Counsel, Fenway Summer Ventures

Session Description: The last few years have witnessed a significant rise in the number of innovators building technical solutions for bank compliance challenges.  The panel will explore this trend from the perspective of leading innovators.  The panel will focus on best practices for innovating in risk-averse environments, including best practices for navigating the sales process with banks and partnering together after the sale is made. Additional topics will include the most pressing regtech needs for banks, the main obstacles and opportunities for regtech entrepreneurs, and a vision for the future of the industry.  

2:45-3:15 p.m.
Refreshment Break [Exhibit Area]
3:15-4:15 p.m.
Financial Institutions + RegTech: Meeting the Need For More Efficient Compliance Solutions
 

Moderator: Miles Reidy
Partner, QED Investors

  • Adam Shapiro, Global Chief Control Officer, Banco Bilbao Vizcaya Argentaria (BBVA) 
  • Seth Wheeler, Head, Consumer and Community Banking, FinTech and Innovation Strategy, JPMorgan Chase

Session Description: Every RegTech company must help financial institutions meet their compliance challenges and needs.  Hear from senior leaders inside of the world’s largest and most forward-leaning banks about their strategies to increase the efficiency of compliance processes.  Pick up insights on the core challenges of selling to and ensuring customer success inside global banks.

4:15-4:30 p.m.
Refreshment Break [Exhibit Area]
4:30-5:30 p.m.
Concurrent Sessions
RegTech Investment Needs & Opportunities
 

Moderator: Eric Reusch
Senior Director, Treliant Risk Advisors

Session Description: What are the investment themes that motivate venture capital investors – both inside and outside of large financial institutions.  Hear how a global bank thinks about investing in RegTech partnerships, and how a focused early stage investor assesses similar opportunities.  You’ll also get a chance to hear from the leadership of a global RegTech company has navigated the raising capital.   

Risk and Compliance Efficiency
 

Moderator: Paul Cantwell
Partner, Oliver Wyman

Session Description: Risk and Compliance have witnessed a heavy increase in cost and complexity over the past several years, driven in part by the heavy regulatory burden.  How do FIs transform risk and compliance to enable efficiency and simplification while improving agility and service levels?  What are the key transformation levers?  What are the key ingredients to a pragmatic transformation journey?

5:30-8:00 p.m.
Networking Reception [Plaza Ballroom]

 

WEDNESDAY, NOV 29

 
7:30-8:45 a.m.
Continental Breakfast
7:30 a.m.-12:00 p.m.
Registration Open
7:30 a.m.-10:15 a.m.
Exhibit Area Open
8:30-9:45 a.m.
Perspectives from Federal Regulators
 

Moderator: Neal Wolin
Former Deputy Secretary of the Treasury

  • Chris D'Angelo, Associate Director, Supervision, Enforcement and Fair Lending, Consumer Financial Protection Bureau (CFPB)
  • Daniel Gorfine, Director, LabCFTC and Chief Innovation Officer, U.S. Commodity Futures Trading Commission (CFTC)
  • Beth Knickerbocker, Chief Innovation Officer, Office of the Comptroller of the Currency (OCC) 

Session Description: Every Federal Regulator is now focused on understanding how innovation can and will change the industry they regulate and create new challenges and opportunities for how regulators approach their roles. Hear from innovation leaders in government about their plans to push innovation forward both inside and outside of their agencies. 

9:45-10:15 a.m.
Refreshment Break in Exhibit Area
10:15-11:30 a.m.
Perspectives from State Regulators
 

Moderator: Steve Cocheo
Executive Editor & Digital Content Manager, Banking Exchange

  • Jessica Altman, Acting Insurance Commissioner, Pennsylvania Insurance Department, National Association of Insurance Commissioners (NAIC)
  • Jan OwenCommissioner, California Department of Business Oversight
  • John Ryan, President and Chief Executive Officer, Conference of State Bank Supervisors (CSBS)
  • Bryan SchneiderSecretary, Illinois Department of Financial and Professional Regulation

Session Description: The U.S. has a robust financial regulatory system where ideas can arise at both the state and federal level. RegTech and “super-tech” will both evolve at the state supervisory point, where tech, regulator, institution, and the public who all serve meet. Two state regulatory officials and the top staff executive of the Conference of State Bank Supervisors, the state regulatory trade association, will explore the “local angle.” 

11:30 a.m. -12:30 p.m.
Closing Keynote: Fireside Chat with Cathy Bessant, Global Bank Challenges and Opportunities
 

Moderator: Andrew L. Sandler
Chairman and Chief Executive Officer, Temerity Capital Partners

  • Cathy BessantChief Operations & Technology Officer, Bank of America 

Session Description: The conference concludes with a Q and A with Cathy Bessant, COTO of Bank of America, recently named by the American Banker as the most powerful woman in banking. Conference co-founder Andy Sandler will solicit Cathy’s perspective on the many important issues discussed at the conference and seek to elicit for delegates an understanding of how the leadership of one of the world’s largest banks sees the future of RegTech as a tool in the continued efforts to address the unique regulatory challenges that come with being among the world’s largest and most complex banks.

12:30 p.m.
Closing Remarks

Agenda subject to change.