NASDAQ MarketSite
April 18, 2018

8:30 AM – 9:00 AM
Breakfast + Registration

9:00 AM – 9:10 AM
Welcoming Remarks: Technology’s Immediate Potential

Al Dominick, CEO, Bank Director & FinXTech
David Wicks, Vice President, Global Corporate Client Group, Nasdaq
Financial institutions spend an estimated $60-$70 billion annually on compliance, and on a per bank basis, those expenses are nearly 20% of the cost to run a bank. Accordingly, we open this year’s event by highlighting several areas of immediate opportunity to better understand and strategically address risks while concurrently reducing expenses tied to reporting and compliance.

9:10 AM – 9:50 AM
Identifying the Sectors and the Players
Daniel Drummer, Vice President Corporate & Investment Banking, J.P. Morgan
Harshad Pitkar, Partner, PricewaterhouseCoopers LLP
Moderated by:  Al Dominick, CEO, Bank Director & FinXTech
By its very nature, the RegTech community is constantly evolving. While the vast majority of technology solutions focus on helping financial institutions manage compliance, this session highlights those that enable banks to operate at higher levels of efficiency.


9:50 AM – 10:20 AM
The Technologies Impacting Anti-Money Laundering + Know Your Customer
Charles Delingpole
, CEO & Founder, ComplyAdvantage
Syed Raza
, SVP, Director – Financial Crimes Compliance, BSA Officer, Texas Capital Bank
One of the most severe regulatory pain points experienced by financial institutions today is the anti-money laundering regime (AML). AML rules require financial institutions to verify the identity of customers (know your customer, or KYC) and monitor transactions for suspicious activity. These requirements present significant challenges, and this session focuses on how to commit to a particular technology or course of action.

10:20 AM – 10:40 AM
Refreshment Break

10:40 AM – 11:10 AM
Credit Risk and Crystal Balls: How Forward-Looking Indicators Help Mitigate Exposure
Kendra Tolley, Retail Product Line Head, nCino, Inc.
In recent years, the need for meaningful and accurate reporting that effectively identifies and analyzes existing and potential credit risk has become a critical part of every financial institution’s risk management program. Yet a recent analysis conducted by the FDIC found that while many banks do a good job of tracking lagging indicators of risk, such as loan delinquencies and charge-offs, it is forward-looking risk indicators that best allow banks to proactively identify and mitigate risk exposure. This session discusses how banks can integrate solutions and incorporate data analytics into reporting, automate regular and ad-hoc reporting and centrally maintain information for future reporting requests. Additionally, the session discusses tools that manage credit, market and liquidity risk through analytics and quantitative risk modeling to increase a bank’s bottom line.

11:10 AM – 11:40 AM
Emerging Enterprise Risk Management Solutions
Andrew Cutter
, Senior Solutions Consultant, Nasdaq Bwise
Tina Naser
, Principal, Oliver Wyman
Moderated by: Mika Moser, President, Bank Director & FinXTech
As bank boards become more forward-looking in terms of risk, strategy and business performance, institutions need to be able to deploy, change and adapt their processes and technology in support of compliance activities across the organization.  This session focuses on solutions that address broader risk types that impact more than one area of the enterprise.

11:40 AM – 12:10 PM
Using Artificial Intelligence to Manage Compliance & Regulatory Risk
Brian Clark, CEO & Founder, Ascent Technologies, Inc.
As technology continues to advance, artificial intelligence is impacting the way consumers behave and empowering businesses to save money and reduce risks. Learn how utilizing AI-driven systems can change the way your institution manages regulatory compliance.

12:10 PM – 1:10 PM
Networking Lunch

1:10 PM – 1:40 PM
Investments & Advancements in Operational Risk Management
Connie L. Moyer, First Vice President, Consumer Compliance Officer, Apple Bank for Savings
Pamela Perdue
, Chief Regulatory Officer & EVP, Continuity
Financial institutions, already facing steep regulatory compliance costs and a complex technical environment, have immediate opportunities to invest in new, non-traditional solutions. This session looks at how to embrace innovations geared to functions such as audit and risk management by providing a roadmap to dedicate the appropriate resources and program structure that RegTech requires – including governance, risk mitigation, incident identification, issue tracking, monitoring for compliance obligations, data storage and reporting. 

1:40 PM – 2:20 PM
Getting In Front of the Legal + Compliance Challenges of RegTech
James Kim, Of Counsel, Consumer Financial Services, Ballard Spahr LLP
Edward Knight
, Executive Vice President and General Counsel, Nasdaq
Melissa Koide, Founder & CEO, FinRegLab
Christina Speh, Head of CRA, Fair Banking & Compliance Testing, TD Bank
Moderated by: Jo Ann S. Barefoot, CEO, Barefoot Innovation Group, LLC
While there are many opportunities in this sector, the pros are not without cons.  Time consuming and expensive for both financial institutions and regulators, the volume of information that parties must monitor and evaluate is enormous. Given how many rules are often complex and difficult to understand and apply, this panel helps participants assess and prepare for some of the more challenging issues that RegTech might surface.

2:20 PM – 3:00 PM
Integration + Regulation
Malcolm Griggs
, EVP & Chief Risk Officer, Citizens Bank
Troy A. Paredes, Founder, Paredes Strategies LLC
Moderated by:  Al Dominick, CEO, Bank Director & FinXTech
The regulatory environment is in constant evolution, bringing new challenges everyday. In this wrap-up session, we look at how technology solutions might better support strategic planning while debating where technology will take the industry over the next eighteen months.

3:00 PM – 5:00 PM
Networking Reception

For more information and to register for this event, please email [email protected] or call our events department at 877-397-7595.