RegTech Data Summit 2019

Overview


Regulatory technology (RegTech) is transforming the regulatory reporting process for the financial industry and the U.S. federal government. The U.S. financial regulatory reporting system is burdensome and fragmented. RegTech can help address these problems, but only if government and industry work together to organize on standardized, quality regulatory data.

On Tuesday, April 23, the Data Coalition will host its annual RegTech Data Summit in New York City, presented by Donnelley Financial Solutions (DFIN). The Summit will bring together financial regulators, industry leaders, RegTech experts, academics, and open data advocates as they discuss the latest innovations and what the future will hold for RegTech. The full-day Summit will cover three key topics: Enterprise Digitization, Reporting Modernization, and Open Data Standards.

The RegTech Data Summit will cover three components of this vision:

Enterprise Digitization
Open Data Standards
Reporting Modernization

Join us for in the heart of the U.S. financial industry for the 2019 RegTech Data Summit to explore the intersection of regulatory reporting, emerging technology, and open data standards as we work to solve the challenges facing government, regulators, and industry.

Speakers


Richard Berner

Executive in Residence and Adjunct Professor, NYU Stern School of Business – Former Director, Office of Financial Research, U.S. Treasury, 2013 – 2017

John Bottega

Executive Director, Enterprise Data Management (EDM) Council

Dan Bucsa

Chief of Staff, Office of Commissioner Dawn D. Stump, Commodity Futures Trading Commission (CFTC)

Robin Doyle

Managing Director, Office of Regulatory Affairs, J.P. Morgan Chase

Ned Gannon

President, eBrevia

Dessa Glasser

Principal, The Financial Risk Group – Former CDO, J.P. Morgan Asset Management

Walter Hamscher

Senior IT Program Manager, Office of Structured Disclosure, Securities and Exchange Commission (SEC)

Ben Harris

Chief Economist, Results for America – Former Chief Economist and Economic Advisor to Vice President Joe Biden

Kristin Hochstein

Head of Entity Data Services, Refinitiv

Ken Lamar

Former SVP, Federal Reserve Bank of New York

Dave Lindsay

Founder and CEO, Delv Global

Karla McKenna

Head of Standards, Global Legal Entity Identifier Foundation (GLEIF)

Mark Montoya

Senior Business Analyst, Federal Deposit Insurance Corporation (FDIC)

Troy Paredes

Founder, Paredes Strategies LLC – SEC Commissioner, 2008-2013

Matt Reed

Chief Counsel, Office of Financial Research, U.S. Treasury

Dean Ritz

Senior Director of Digital Reporting Strategy

Yolanda Scott

Managing Director, Booz Allen Hamilton

Jonathan Sokobin

Senior Vice President and Chief Economist, Financial Industry Regulatory Authority (FINRA)

Lara Webb

Manager, Forensic Technology Solutions, PwC

Venue


  One Liberty Plaza Financial District, New York, NY 10006




Agenda


Time
Session 
9:00 a.m.
Registration and Networking

 

10:00 – 10:10 a.m.
Welcome
  • Nick Hart, Chief Executive Officer, Data Coalition
  • Craig Clay, President, Global Capital Markets, Donnelley Financial Solutions (DFIN)
10:15 – 10:40 a.m.
Opening Keynote
  • Ben Harris, Chief Economist, Results for America – Former Chief Economist and Economic Advisor to Vice President Joe Biden
10:45 – 11:30 a.m.
Enterprise Digitization Panel: Data Management, Emerging Tech, and Risk

(Sponsored by Delv Global)

About: The modern enterprise faces a myriad of internal and external data challenges. Companies must prepare various regulatory compliance filings, gather market information for strategic planning and risk management, and maintain accurate finances for internal management controls and investor relations. By internally aligning common data formats and adopting open standards into a unified data framework, firms can build a competitive information foundation to more efficiently leverage powerful new analytic systems, visualization applications, and reporting compliance tools.

  • Ned Gannon, President, eBrevia
  • Dessa Glasser, Principal, The Financial Risk Group – Former CDO, J.P. Morgan Asset Management
  • Kristin Hochstein, Head of Entity Data Services, Refinitiv
  • Lara Webb, Manager, Forensic Technology Solutions, PwC
  • Moderator: Dave Lindsay, Founder and CEO, Delv Global
11:30 a.m. – 12:00 p.m.
Networking Break
12:00 – 12:45 p.m.
Open Standards Panel

About: Adoption of a single, open data standard for entity identification among U.S. regulatory bodies would create a framework for financial institutions and regulators to more accurately assess market risk, improve reporting efficiencies, lower transaction costs, improve data quality and increase transparency between the regulators and regulated institutions. A universal identifier, like the Legal Entity Identifier (LEI), must be adopted more broadly to build a comprehensive entity identification system and make the benefits of the open data standards a reality.

  • Robin Doyle, Managing Director, Office of Regulatory Affairs, J.P. Morgan Chase
  • Ken Lamar, Former SVP, Federal Reserve Bank of New York
  • Karla McKenna, Head of Standards, Global Legal Entity Identifier Foundation (GLEIF)
  • Matt Reed, Chief Counsel, Office of Financial Research, U.S. Treasury
  • Moderator: John Bottega, Executive Director, Enterprise Data Management (EDM) Council
12:45 – 1:00 p.m.
Lunch Speaker – Closing the Investment Information Gap: “Trust, but Verify”

(Sponsored by Workiva)

Sustainable, responsible and impact investing (SRI) now accounts for $1 of every $4 of professionally managed assets in the US, totaling $12 trillion in 2018. Shouldn’t investors be able to verify both the assertion that a particular investment truly is directed at desired ends and ultimately achieves these ends? Using the municipal bond market as an example, this presentation explains how an open data supply chain can increase transparency and strengthen public trust in governmental projects.

  • Dean Ritz, Senior Director of Digital Reporting Strategy, Workiva
1:00 – 1:45 p.m.
Lunch
1:45 – 2:30 p.m.
Reporting Modernization Panel

(Sponsored by Booz Allen Hamilton)

About: If our government adopts open data standards for the information it collects from the private sector, the federal government can improve accountability to the public and private sector investors; facilitate data-driven analysis and decision making by agencies; and reduce compliance costs through automation. 

  • Dan Bucsa, Chief of Staff, Office of Commissioner Dawn D. Stump, Commodity Futures Trading Commission (CFTC)
  • Walter Hamscher, Senior IT Program Manager, Office of Structured Disclosure, Securities and Exchange Commission (SEC)
  • Mark Montoya, Senior Business Analyst, Federal Deposit Insurance Corporation (FDIC)
  • Jonathan Sokobin, Senior Vice President and Chief Economist, Financial Industry Regulatory Authority (FINRA)
  • Moderator: Yolanda Scott, Managing Director, Booz Allen Hamilton
2:30 – 3:00 p.m.
Networking Break
3:00 – 3:30 p.m.
Closing Fireside Chat
  • Troy Paredes, Founder, Paredes Strategies LLC – SEC Commissioner, 2008-2013
  • Facilitator: Richard Berner, Executive in Residence and Adjunct Professor, NYU Stern School of Business – Former Director, Office of Financial Research, U.S. Treasury, 2013 – 2017
3:30 – 3:45 p.m.
Closing Remarks
  • Craig Clay, President, Global Capital Markets, Donnelley Financial Solutions (DFIN)
  • Nick Hart, Chief Executive Officer, Data Coalition

Sponsors


Title Sponsor

Partner Sponsors

Special Policy Sponsor

Additional Sponsors

Exhibitors


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