Financial Regulation Summit: Data Transparency Transformation

The Coalition's first Financial Regulation Summit, presented by RR Donnelley, brought together data transparency advocates and leaders in the financial regulation community to discuss the many benefits of moving from documents to data.

March 24, 2015, Union Market, Washington, D.C.

Around the world, financial regulators are transforming document-based reporting requirements into standardized, machine-readable data.  This data transparency transformation promises better accountability to investors, enhanced regulatory oversight through data analytics, and automated, cheaper compliance – but only if regulators adopt consistent data standards for the information they collect. The Financial Regulation Summit brought together U.S. regulatory leaders, Congressional supporters of data transparency, regulated entities, and the tech companies whose solutions are ready to use transparent data to serve investors, regulators, and registrants.

U.S. regulators have a great deal of change ahead. Many reporting requirements are still expressed as disconnected documents where standardized data formats could improve accountability, management, and compliance. And although the Treasury Department has called for the universal adoption of the Legal Entity Identifier (LEI) to identify regulated entities the same way across all regulators, most agencies have not yet embraced it. But the time is right for change. Last year, President Obama signed the DATA Act into law, mandating similar reforms for the U.S. government’s own spending reports. In 2015, Congress and regulators can work together to pursue data transparency in financial regulation. That work began at our Summit.

Check out the highlights from the FinReg Summit in a special issue of Data Transparency News covering the event.

Presenting Sponsor



8:00 am Registration
8:45 am Welcome
9:00 am Legislative Panel, sponsored by Socrata
Hon. Carolyn Maloney, U.S. House of Representatives
Hon. Randy Hultgren, U.S. House of Representatives
Hon. Darrell Issa, U.S. House of Representatives
9:45 am First Keynote Address
Hon. Josh Mandel, Treasurer of Ohio
10:30 am Networking Break
11:00 am Second Keynote Address
Hon. Tony Scott, United States Chief Information Officer
11:45 am Plenary Address
Mark Flannery, Chief Economist, Securities and Exchange Commission
12:00 pm Plenary Address
Srinivas Bangarbale, Chief Data Officer, Commodity Futures Trading Commission
12:15 pm  Lunch
1:30 pm Afternoon Keynote Address
Hon. Dick Berner, Director, Office of Financial Research, U.S. Treasury
2:15 pm International & Academic Panel
Roy Warden, Filing Operations Lead, Her Majesty’s Revenue and Customs (UK)
Piotr Madziar, Policy Officer, European Commission
Prof. Craig Lewis, Vanderbilt University
Daniel Castro, Director, Center for Data Innovation
3:00 pm Networking Break
3:30 pm Financial Industry Panel, sponsored by RDG Filings
James Allen, Director of Policy, CFA Institute
Amy Pawlicki, Director, Business Reporting, Assurance & Advisory Services
Rich Cooper, Vice President for Research and Emerging Issues, U.S. Chamber of Commerce Foundation
Al Berkeley, Chairman, Princeton Capital Management
4:00 pm Plenary Address
Rick Fleming, Investor Advocate, Securities and Exchange Commission
4:15 pm Data Management Panel, sponsored by PwC
Donna Roy, Executive Director of the National Information Exchange Model (NIEM) and head of information sharing, Department of Homeland Security
Linda Powell, Chief Data Officer, Consumer Financial Protection Bureau
Darrell Ashton, Office of the Chief Data Officer, Federal Reserve Board of Governors
5:00 pm Closing
5:15 pm Reception
Sponsored by Workiva-Logo-Small





Dick Berner

Dick Berner
Office of Financial Research (OFR)

Mark Flannery

Mark Flannery
U.S. Securities and Exchange Commission

Rick Fleming
U.S.  Securities & Exchange Commission

Randy Hutlgren

Rep. Randy Hultgren
Member of Congress – Illinois’ 14th District

Josh Mandel
Ohio Treasurer

Linda Powell
Consumer Financial Protection Bureau

Rep. Darryll Issa
Member of Congress –  California 49th Congressional District

Rich Cooper
U.S. Chamber of Commerce Foundation

Donna Roy High Resolution 2

Donna Roy
Department of Homeland Security


Carolyn Maloney

Rep. Carolyn Maloney
Member of Congress – New York’s 12th District


Al Berkeley
Princeton Capital Management


Amy Pawlicki
American Institute of Certified Public Accountants



Craig Lewis, CPA
Vanderbilt University




Daniel Castro
Center for Data Innovation




Photo Piotr Berlaymont

Piotr Madziar
European Commission



Roy Warden
HM Revenue & Customs


Special Thanks

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Presenting Sponsor


Partner Sponsor

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Panel Sponsors


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