Overview

With the wave of new regulatory technology hitting the financial services industry, SIFMA RegTech 2020 will cover the resulting challenges of assessing legal and compliance risks associated with artificial intelligence, robotics process automation, e-communications, collaborative tools, and more.

Join industry experts, regulators, and innovators to examine the legal and compliance risks and rewards when implementing regtech solutions and discover cutting-edge products that will affect how firms implement compliance responsibilities in the future.

Program topics will include:

  • Impact of AI/RPA on Compliance & Risk Management
  • 21st Century E-Communications Compliance Solutions
  • Regulator Perspectives on RegTech and SupTech

Featured Speaker

SIFMA RegTech 2020

Overview

With the wave of new regulatory technology hitting the financial services industry, SIFMA RegTech 2020 will cover the resulting challenges of assessing legal and compliance risks associated with artificial intelligence, robotics process automation, e-communications, collaborative tools, and more.

Join industry experts, regulators, and innovators to examine the legal and compliance risks and rewards when implementing regtech solutions and discover cutting-edge products that will affect how firms implement compliance responsibilities in the future.

Program topics will include:

  • Impact of AI/RPA on Compliance & Risk Management
  • 21st Century E-Communications Compliance Solutions
  • Regulator Perspectives on RegTech and SupTech

Featured Speaker

Program

10:00am – 11:00am

Virtual Exhibit Hall

11:00am – 11:30am

Participants

The Honorable Hester M. Peirce, Melissa MacGregor

Speakers

Melissa MacGregor

Managing Director and Associate General Counsel

SIFMA

Melissa MacGregor’s Biography

11:30am – 12:30pm

SIFMA members are exploring and implementing artificial intelligence and machine learning based compliance solutions for many aspects of their businesses. At the same time, questions have emerged about…

SIFMA members are exploring and implementing artificial intelligence and machine learning based compliance solutions for many aspects of their businesses. At the same time, questions have emerged about how this technology can be implemented under existing regulatory regimes. This panel will explore how firms are considering these challenges both in the US and globally.

Participants

Alan Charles Raul, Sarah Cole, Erwin Eichmann, Heather Gentile, Sunil Kapur, Michael Tae

Moderator

Panelists

Sarah Cole

Executive Director

Morgan Stanley

Sarah Cole’s Biography

Erwin Eichmann

Associate General Counsel - Technology and Intellectual Property

Goldman Sachs

Erwin Eichmann’s Biography

Heather Gentile

Head of RegTech Offerings

IBM

Heather Gentile’s Biography

Sunil Kapur

Managing Director

Deloitte & Touche LLP

Sunil Kapur’s Biography

12:30pm – 1:00pm

An interview with FIS’ resident RegTech strategist will cover what it means for you and your organization in the pre- and post- pandemic world. Hear about the pillars for success…

An interview with FIS’ resident RegTech strategist will cover what it means for you and your organization in the pre- and post- pandemic world. Hear about the pillars for success when building your RegTech strategy.

Participants

Jack Baxter, Harry Stahl

Moderator

Jack Baxter

Senior Vice President, Global Sales Operations

FIS

Jack Baxter’s Biography

Speaker

Harry Stahl

Director, Business and Solutions Strategy, Capital Markets Solutions

FIS

Harry Stahl’s Biography

1:00pm – 2:00pm

In the winter of 2020, many firms moved the majority of their employees to remote work almost overnight. As a result, firms have had to ramp up their…

In the winter of 2020, many firms moved the majority of their employees to remote work almost overnight. As a result, firms have had to ramp up their electronic communications and conferencing capabilities nearly overnight, causing many new questions about the compliance of platforms that had not previously been used by broker-dealers and asset managers. This panel will look at how firms are meeting their compliance responsibilities through policies, internal controls and vendor solutions.

Participants

Marla Moskowitz-Hesse, Orrie Dinstein, Marc Gilman, Iain Duke-Richardet, Laura Slagle

Moderator

Marla Moskowitz-Hesse

Managing Director

Credit Suisse

Marla Moskowitz-Hesse’s Biography

Panelists

Orrie Dinstein

Global Chief Privacy Officer

Marsh & McLennan Companies

Orrie Dinstein’s Biography

Marc Gilman

General Counsel and Vice President of Compliance

Theta Lake

Marc Gilman’s Biography

Iain Duke-Richardet

Compliance Strategy Principal

Hearsay Systems

Iain Duke-Richardet’s Biography

Laura Slagle

Director, Retail & Active Trader Compliance

TD Ameritrade

Laura Slagle’s Biography

2:00pm – 3:00pm

US financial regulators have taken on many new regtech issues and initiatives over the past several years. This panel of policymakers will discuss the newest initiatives and how…

US financial regulators have taken on many new regtech issues and initiatives over the past several years. This panel of policymakers will discuss the newest initiatives and how they are paving the way for industry innovation while preserving trust and integrity in the financial services industry. 

Participants

Caroline D. Pham, Kavita Jain, Beth Knickerbocker, Melissa Netram, Valerie A. Szczepanik, Haimera Workie

Moderator

Caroline D. Pham

Deputy Head of Global Regulatory Affairs

Citi

Caroline D. Pham’s Biography

Panelists

Kavita Jain

Deputy Associate Director, Innovation Policy

Federal Reserve Board

Kavita Jain’s Biography

Melissa Netram

Director of LabCFTC and Chief Innovation Officer

Commodity Futures Trading Commission

Melissa Netram’s Biography

Valerie A. Szczepanik

Head of the Strategic Hub for Innovation and Financial Technology

U.S. Securities and Exchange Commission

Valerie A. Szczepanik’s Biography

Haimera Workie

Head of Financial Innovation and Senior Director

FINRA

Haimera Workie’s Biography

RegTech Safety and Trust 5 Keys to Smarter Onboarding, Sponsored by IBM

The reason behind the explosion of modern electronics communications tools is clear – the need and desire to communicate with clients over the channels of their choice. It’s not about…

The reason behind the explosion of modern electronics communications tools is clear – the need and desire to communicate with clients over the channels of their choice. It’s not about technology per se – it’s about meeting your business goals by responding to client demands before your competitors can. Changing demographics mean that it is increasingly likely that your client uses email infrequently – if at all – and will expect to interact on a social or mobile network.

With the rapid adoption of social and collaborative platforms comes implications to supervisory review – and to financial services compliance more broadly – that are enormous to firms of all shapes and sizes.

Is your financial services organization required to comply with banking and/or securities regulatory compliance obligations? If so, watch our On-Demand session about the benefits of automating your regulatory change management…

Is your financial services organization required to comply with banking and/or securities regulatory compliance obligations? If so, watch our On-Demand session about the benefits of automating your regulatory change management (RCM) process. In this session, Elaine Duffus, Senior Specialized Consultant and Steve Annino, Director, Solution Engineering, provide practical steps you can take towards automating your RCM process, and an explanation of how Wolters Kluwer’s automated solutions could help you get there. Our regulatory change content can be implemented into our proprietary technology or yours, so you can continue conducting business as usual during these unusual times.

Digital onboarding is no longer a luxury but a necessity for wealth management firms today. The new norms of social distancing greatly reshape how clients will interact with their firms…

Digital onboarding is no longer a luxury but a necessity for wealth management firms today. The new norms of social distancing greatly reshape how clients will interact with their firms now and well into the future. Those who can manage to provide superior experiences to clients without asking them to leave the comfort of their home will rise to the top.

The impacts and lessons of this pandemic are many. The time to act is now. Firms that are able to quickly implement digital solutions to continue servicing their clients will notice a significant competitive advantage.

Join this session to learn no-fail agile implementation methodology so you can get a digital onboarding solution live, quickly at your firm.

Join an upcoming panel discussion with senior leaders from the buy side and sell side discussing technology transformation. This webinar focuses on how technologies such as AI, blockchain, the Cloud…

Join an upcoming panel discussion with senior leaders from the buy side and sell side discussing technology transformation. This webinar focuses on how technologies such as AI, blockchain, the Cloud and digital are helping innovative firms adapt to challenges and creating new revenue streams.

Topics covered include:
• Adoption trends in next-gen technologies, based on a survey of 500 executives globally
• How the new normal has impacted technology strategies
• Overcoming hurdles and accelerating innovation
• Where are we heading? Future trends in next-gen technology

Venue

Virtual Gathering


Webinars, Webcasts, Virtual

Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.

Picture of venue

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Evan Grogan at 212.313.1134.

Policy
View SIFMA’s official press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Cancellations and Substitutions

Cancellation within 48 hours of the virtual event will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.