RegTech Data Summit 2019

The second annual RegTech Data Summit on April 23, 2019 in New York brought together agency leaders, Congress, regulated industries, and tech companies to define what the future holds for RegTech.

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 hosted its annual RegTech Data Summit in New York City, presented by Donnelley Financial Solutions (DFIN). The Summit brought together financial regulators, industry leaders, RegTech experts, academics, and open data advocates to discuss the latest innovations and what the future will hold for RegTech. The RegTech Data Summit covered three components of this vision:  

  1. Enterprise Digitization
  2. Open Data Standards
  3. Reporting Modernization

The 2019 RegTech Data Summit explored the intersection of regulatory reporting, emerging technology, and open data standards and worked to solve the challenges facing government, regulators, and industry in the heart of the U.S. financial industry.

Event Wrap-Up 

Session Videos

April 23, 2019

Convene – One Liberty Plaza,

New York, NY.

Title Sponsor

Partner Sponsor

Panel Sponsor

Special Policy Partners

Media Partners

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)
Craig Clay
President, Global Capital Markets, Donnelley Financial Solutions (DFIN)
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
Nick Hart
Chief Executive Officer, Data Coalition
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

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

Exhibitors

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