COMPLY2018 Agenda

2018 Agendaseparator

Please contact your Client Success Manager to register. No additional costs but space is limited.

12:30 pm
Registration and Sponsor Row Open
  • ALEX BAYDIN
    PerformLine

Compliance is the guts of the banking infrastructure. With global financial institutions now shelling out more than $100B per year on compliance and regulatory obligations, and people cost being the largest component, the need of the hour is to shift the focus on the use of technology to address this elephant in the room. Emerging RegTech solutions offer the ecosystem a triple bottom line: they free up valuable resources (both human and capital) to be used more productively; the resulting savings can be deployed for creating better experiences for end users; and the tech-enabled solutions enable other FinTech firms working with the FIs to be compliant and efficient at the same time. 

  • ADITYA KHURJEKAR
    MEDICI (Formerly LTP)

Investors and their strategic acquirers have known for a while that compliance means big business. They are starting to place their bets on which RegTechs will be the winners and the also-rans. Discover what they look for when making investments, from seed stage to acquisition, and gain insights on current valuation ranges and where the money will come from in the future.

  • GREG SMITH
    Financial Technology Partners
  • Daniel-Kim-headshot
    DANIEL KIM
    Bregal Sagemount
  • GARY OFFNER
    Nasdaq
  • Alex-Acree
    ALEX ACREE
    Fenway Summer Ventures

Join Vishal Ranjane of Protiviti as he and Chris Tocin from M&T Bank discuss how the Compliance department at the Bank went from battling for budget dollars for investments in compliance technology, to a more open and accepting culture where regulatory technology was viewed as an enabler. While the shift was gradual, it was sustainable, and required a mindset shift at the Bank. This discussion will leverage the M&T use case and provide actionable steps to shift company perceptions towards compliance being an intrinsic expression of organizational value.

  • Vishal-Ranjane
    VISHAL RANJANE
    Protiviti
  • Chris-Tocin
    CHRIS TOCIN
    M&T Bank
3:10 pm
Break / Networking / Sponsor Row Open

Many State Attorneys General have made it clear that they plan to step up their consumer protection efforts if the current administration pulls back on enforcement. Hear what these State AGs have to say about how they plan to enforce federal and state consumer protection laws, despite changes at the White House and within regulatory agencies.

  • Martha-Coakley
    MARTHA COAKLEY
    Foley Hoag LLP
  • JASON BROWN
    Cohen & Gresser
  • RICHARD A. JOHNSTON
    Massachusetts Attorney General's Office
  • NICHOLAS SMYTH
    PA Office of Attorney General

The regulatory landscape changed dramatically following the financial crisis, with a myriad of new regulations and requirements for financial firms that differ across jurisdictions. That landscape continues rapidly to evolve as regulations are phased in and new ones appear. The cost of compliance has also increased, and will continue to rise, as organizations try to keep up with ever-shifting domestic and international regulations, agencies and priorities.  The idea of simply “spending more” to become more compliant is no longer practical, let alone cost-effective.   Listen in as these two titans of regs and tech discuss how more, companies are turning to Regulatory Compliance Analytics solutions to help meet their compliance obligations and deliver additional business value.

  • Rennie-Alistair
    ALISTAIR RENNIE
    IBM Watson Financial Services
  • RICHARD BERNER
    NYU Stern School of Business
  • Chris-Dessi-logo
    CHRIS DESSI
    PerformLine

Always the highlight of COMPLY, the rooftop party is the ultimate networking event on the city’s premier rooftop with 360° views of the New York City skyline. Attendees, speakers and sponsors join the party to network and make the connections that fuel their business and provide connections to fuel their future.

SPONSORED BY:

  • Financial-Technology-Partners
    Financial Technology Partners

Watch as innovative startup, and scale-up companies present their latest RegTech product offerings. These companies and their products hold promise for identifying the best solution for your businesses regulation needs.

  • Blockpass
    Blockpass
  • PendoSystems
    PendoSystems
  • Asurity-Technologies-200x200
    Asurity Technologies
  • TAINA Technologies
    Taina Technologies
  • Big ID
    BigID
8:00 am
Registration / Breakfast / Sponsor Row Open

Given the pace at which innovation is occurring, regulators are coming to expect that firms leverage technology to effectively run compliance programs. Join Accenture to discuss the future of Compliance and several RegTech solutions to remain competitive and in compliance with regulator’s policies.

9:00 am
CEO Welcome

The UK has conducted a successful experiment with “machine-executable regulation” — changing a regulatory reporting requirement not through words, but in the form of computer code. It’s a big step in a revolution that will digitize both financial regulation and compliance, leveraging the parallel transformation of finance itself. As with all things digital, RegTech will enable better outcomes at lower cost — a dynamic the compliance world has rarely seen. This talk explains the changes that are coming, early use cases, and what it all means for compliance professionals.

  • JO ANN BAREFOOT
    Barefoot Innovation Group and Cofounder of Hummingbird Regtech

In this dizzying time of global upheaval, innovation and unrest, join our panel of regulators as they share what’s shaping their agendas and most pressing on their desks. How are events like the new US administration and Brexit impacting future regulations? And how are the regulators collaborating with RegTech and FinTech innovators? Their commentary and insights will shed light on these turbulent topics, placing keen attention on answering how all of this will impact financial institutions, consumers and the law.

  • JO ANN BAREFOOT
    Barefoot Innovation Group and Cofounder of Hummingbird Regtech
  • TONY ALEXIS
    Former Head of Enforcement at CFPB
  • DUANE POZZA
    Federal Trade Commission
  • Kavita-Jain-COMPLY2018-Speaker
    KAVITA JAIN
    FINRA

Third party risks, new regulations, global expansion, new technologies and ever-changing regulatory environments are just a few of the challenges faced by CCOs. Just how are CCOs overcoming these competing demands to keep their organizations ahead of risk while staying ahead of the competition? Learn their practical approaches to the challenges and changes that new technologies are providing.

  • ALEXANDRA MEGARIS
    Venable
  • Brian-Woldow-headshot
    BRIAN WOLDOW
    Bank of America Merrill Lynch
  • MITCH HOCHBERG
    Marcus: By Goldman Sachs
  • Paula-Tuffin-logo
    PAULA TUFFIN
    Better Mortgage
10:40 am
Morning Break

They put the tech in RegTech but how exactly are technologies like Machine Learning, Artificial Intelligence (AI), Natural Language Processing, Predictive Analytics, and Blockchain powering the transformation of businesses today? Join these RegTech CEO’s as we explore their path to adoption within Financial Institutions and discuss which tech can help transform your risk and compliance practice.

  • Nirvana Farhadi
    Nirvana Farhadi
    Hitachi
  • John-Byrne-headshot
    JOHN BYRNE
    Corlytics
  • Kayvan-Alikhani
    KAYVAN ALIKHANI
    Compliance.ai
  • Pamela-Cyrton-headshot
    PAMELA CYTRON
    Pendo Systems
  • PAWEL KUSKOWSKI
    Coinfirm

In a digital world, the General Data Protection Regulation (GDPR) could be the largest compliance hurdle seen by marketers in decades when it goes into effect on May 25. GDPR applies to any entity processing the personal data of European Union (EU) citizens. It demands the implementation of significant data safeguards, and the consequences of getting it wrong are significant. Get practical advice and real-world examples from UK legal experts and Google’s former head of legal emerging markets as she discusses the key challenges, what to expect when the regulation goes into effect and the tactical approach one company took to achieve GDPR compliance.

  • Karima-Noren
    KARIMA NOREN
    The Legal Pod and The Privacy Compliance Hub
  • Veronica-Gonzalez-headshot
    VERONICA GONZALEZ
    Outbrain

No industry is facing more transformation than Payments. Technology like Blockchain is poised to solve problems like privacy, security and trust but how will it be regulated? And how will it be incorporated to revolutionize industries beyond payments?

  • JASON OXMAN
    Electronic Transactions Association
  • EMILY GOODMAN BINICK
    American Express
  • Hans-Lombardo
    HANS LOMBARDO
    Blockpass
  • Venkatesh-Bala
    VENKATESH BALA
    Biz2Credit

His transformation from one of the world’s most notorious con men to cybersecurity expert has been mythologized in film and Broadway, but the takeaways he’ll share at COMPLY are the real deal. A tale captured by award-winning movie, Catch Me If You Can, Abagnale will dive into his life as a legendary impostor of the 1960s, posing as a pilot, pediatrician, stockbroker, college professor and assistant AG, all while cashing millions in forged checks. Hear Mr. Abagnale’s thrilling story and leave with a deep understanding of today’s evolving security landscape and how it can affect your business.

  • Frank-Abagnale
    FRANK ABAGNALE
    Catch Me If You Can
1:00 pm
Lunch / Sponsor Row Open
2:00 pm
Afternoon Kickoff and Awards Presentation

Engaging and serving customers digitally is spurring dramatic innovation in the lending space, but will the interest rate environment along with increasing inflation change that trajectory? Hear from senior executives at lenders and the banks that back them on how their companies are scaling consumer and business lending while reducing risk from economic conditions, regulatory obligations and competition.

  • MILES REIDY
    QED Investors
  • JODI GOLINSKY
    FS Card
  • Noah-Breslow-headshot
    NOAH BRESLOW
    OnDeck
  • Robert-Marx-headshot
    ROBERT MARX
    WebBank
  • NATHAN MILFORD
    PerformLine
  • Jason-Schickel
    JASON SCHICKEL
    PerformLine

Contact Centers are on the front lines with your brand’s consumers. Data gathered on those interactions can provide a treasure trove of intelligence when reviewed and analyzed. Learn which data points are providing contact centers and their brands with clear signals on where risk may be emerging in relation to regulations like TCPA and expectations from the FTC and FCC.

  • ken-richard
    KEN RICHARD
    Ytel, Inc.
  • DONNA BUCELLA
    Guidepost Solutions
  • Tony-Paterno-Headshot
    TONY PATERNO
    PerformLine

Data security is a substantial concern after recent data breaches at credit agencies, big-box retailers, social networks and even driver-rider platforms. Those breaches, combined with new global cybersecurity and data protection legislation and regulations, puts the security and integrity of consumer data in question. What can enterprises, large or small, learn from these situations regarding responsibilities, governmental expectations and consumer expectations? What new business opportunities are unlocked by innovation and which business models will be put into jeopardy?

  • Denise-Zheng-Headshot
    DENISE ZHENG
    Business Roundtable
  • BRETT DEWITT
    Mastercard
  • Jamie-Brown
    JAMIE BROWN
    CA Technologies
  • PAUL KRIEGER
    Krieger Kim & Lewin LLP
3:40 pm
Afternoon Break / Sponsor Row Open

Anti-Money Laundering (AML) and Know Your Customer (KYC) are critical initiatives for financial institutions and regulated companies. Regulators have higher expectations, making it a struggle for Financial Institutions to keep up in order to avoid penalties for non-compliance and sanctions investigations. Learn how Chief Risk Officers are using technology like RegTech to navigate and reimagine their AML and KYC programs.

  • Aron-Carter-headshot
    ARON CARTER
    Penns Woods Bancorp, Inc.
  • Jennifer-McEntire-headshot
    JENNIFER MCENTIRE
    LexisNexis Risk Solutions
  • PARKER CROCKFORD
    Onfido
  • RICHARD WAKEFIELD
    kompany

Higher education has had its fair share of regulatory challenges and disruption in the past, this year is looking no different with legislation reauthorizing and reforming the Higher Education Act of 1965. Listen in for boots-on-the-ground anecdotes on how these higher education marketers and their partners have handled the balancing act of proactively managing compliance to protect their brands, while still meeting their student acquisition goals—all amidst an evolving regulatory landscape.

  • JOE LASKOWSKI
    Higher Ed Growth
  • BETH LAGUARDIA COOPER
    American Public University System
  • DEBORAH SOLMOR
    Career Education Corporation
  • TERANCE GONSALVES
    Steptoe & Johnson LLP

Meet the all-stars who are leading the marketing and compliance efforts at some of the fastest growing companies today. Learn how these innovative and inspiring leaders are engaging more consumers, leveraging technology to move faster and using compliance as a competitive advantage. We’ll take a under the hood at how the marketing and compliance relationships work at three of the top U.S. brands: Uber, TD Ameritrade, and LendingTree.

  • David-Jakubowski
    DAVID JAKUBOWSKI
    Facebook
  • Brad-Wilson-headshot
    BRAD WILSON
    LendingTree
  • Denise-Karkos-headshot
    DENISE KARKOS
    TD Ameritrade
  • JANE POLLACK
    Uber
5:15 pm
Networking Cocktails & Sponsor Row Open (5:15 – 6:15PM)