RegTech for digital surveillance and ML/TF 2022 Agenda
For speaking opportunities or to register interest in attending please Contact Us
Objective
In this seminar, leading AML, KYC, Terrorist Financing, Sanctions and Market Abuse experts will articulate the key challenges of these fast moving, interdependent but separate regulatory requirements and what RegTech can do to align compliance solutions.
Virtual Panels
We are crafting the right agenda based on our exclusive research on the real-world policy and implementation challenges in this fast moving space
Target Audience
TradFi and Digtal asset: Compliance, Middle office, Regulators Regulatory SMEs: heads of regulatory change, compliance, legal; Executive decision-makers: CDOs, CIOs, CAOs, COOs,
RegTech for digital surveillance and ML/TF 2022 Agenda
For speaking opportunities or to register interest in attending please Contact Us
About the session
Today’s AML and surveillance experts face massive new waves a to search for outliers. Regulators want the risks integrated and are dishing out large fines. RegTech solutions can help integrate and streamline risk management and controls, but only if we align with fast-moving new rules. How can RegTech help bridge risk silos and create effective compliance solutions?
Regulatory Challenges
- Large fines
- Integrated controls
- Surging control points
- New tech/data expectations
New RegTech/SupTech drivers
- Large fines
- Integrated controls
- Surging control points
- New tech/data expectations
About the session
2022 political turbulence and a market explosion of digital asset offering has thrust a slow-moving policy agenda into the limelight. With EU AML policy ramping up and a global focus on digital asset rules, what are the key challenges which RegTech can help get out in front of?
Regulatory Challenges
- BIS paper 126: Corporate digital identity here
- US & UK PET prize summer 2022 here
- US DoJ international digital asset detection, Investigation and prosecution here
- Bank of England – Charting the Future of Post-Trade here
- Economic Crime (Transparency and Enforcement) Act
- FATF 40 recommendations here
- UK sanctions report
- Post-Brexit UK MLR
- BIS crypto asset AML
- Digital Asset standards (e.g., EC travel rule)
- FATF Virtual Assets 12 month review – travel rule
- EU ALMA single rule book Regulation
- EU 6MLD & crypto-asset
- PISPs as AML obliged entities
- MiFID III/ ESG Suitability requirements
New RegTech/SupTech drivers
- JWG analysis on DeFi and the AML car here
- JWG economic crime RegTech analysis and RegCast here
- JWG AML and TM RegTech 2022 analysis here
- Austrac Financial Crime guide for ransomware here
- UK ‘systems approach’ to fraud here
- Closing the UK’s economic crime enforcement gap here
- Terrorism Financing Risks RUSI paper here
- RUSI CRAAFT event recording here
- Supervisory data sharing / MAS COSMIC data sharing
- Digital Asset standards (e.g., EC travel rule)
- FATF Virtual Assets 12 month review – travel rule
- Top 10 AML fines here
About the session
TradFi roadblocks have been erected quickly to prevent access to the financial system. Firms need to know much more about underlying assets and beneficial ownership than ever before as new ISO messaging standards take affect. On-boarding, KYC and sanctions screening teams are under pressure. Discerning real negative news from disinformation requires carefully-tuned risk frameworks and clear gaps exist between customer, instrument, trade and payments data sets. How are RegTech solutions evolving to meet the needs of new TradFi and digital actors?
Regulatory Challenges
- FCA claims regarding sanctions tooling here
- US sanction on virtual currency mixer here
- Wolfsberg negative news screening FAQ here
- Treasury Committee -Oral evidence: Russia: effective economic sanctions here
- Sanctions screening for indirect investments here
- House of Commons Treasury Committee Defeating Putin: the development, implementation and impact of economic sanctions on Russia here
- FCA Statement on new financial sanctions measures in relation to Russia here
- FCA ‘Dear CEO’ letter on AML failings to be corrected by 17 September 2021 here
- HM Treasury consultation on Money Laundering Regulations (MLRs) – including the role of new technology here
- 2021 AML package here
- Screening obligations for cross-boarder instant payments
- The Russia-Ukraine Crisis: What does it mean for the markets? here
New RegTech/SupTech drivers
- JWG: 10 Sanctions RegTech priorities here
- JWG: RegTech & Sanctions 2022 here
- AI: a winning strategy for payments here
- US Treasury Virtual Currency Mixer sanction here
- RUSI Europe – Bit by Bit: Impacts of New Technologies on Terrorism Financing Risks here
- Compliance Clarified – Season 4, Episode 10 here
- Office of Foreign Assets Control (OFAC) – A Framework for OFAC Compliance Commitments here
- FATF stocktake on data pooling, collaborative analytics and data protection here and Suggested actions to support the use of new technologies for AML/CFT here
- FATF Opportunities and Challenges of New Technologies for AML/CFT here
- Linking risk control frameworks to a fast moving obligations
- Mitigating sanctions risk via blockchain here
- Embedding changing rules / tokenization to assets
- EBA draft guidelines on supervisory data exchange with FIUs here
- FinCen Privacy Enhancing Technologies workshop here beneficial ownership non-public database here
About the session
Brand-new eComms, voice and chain data sets are now accessible for the 2nd line of defence, but require complex, market insight to spot market manipulation. At the same time, privacy and AI rules are taking a hard look at how ethical some approaches are. How does RegTech help the 2nd line of defence mitigate risks in the right way?
Regulatory Challenges
- FCA 06/22 market abuse and manipulation update here
- FCA 05/22 Market Watch 69 – Observations on market abuse surveillance here
- SEC $80m hacking and trading scheme fine here
- Electronic communications surveillance fines summarised here
- Preventing Financial Crime in Cryptoassets here
- Best execution
- Surveillance policy
- Conduct, culture, AI and data policy
About the session
Compliance policies are being managed via ever-more complex controls which cross risk silos. What is required to get the best out of new RegTech tooling while keeping within new technology and supplier management guidelines?
New RegTech/SupTech drivers
- JWG: 10 Sanctions RegTech priorities here
- JWG: RegTech & Sanctions 2022 here
- JWG analysis on DeFi and the AML car here
- JWG economic crime RegTech analysis and RegCast here
- JWG AML and TM RegTech 2022 analysis here
- JWG Market Watch 69 and Surveillance RegTech here
- JWG analysis on Surveillance RegTech 2022 here
- BoE Post Trade committee report here
Managing Director, Chief Operating Officer (COO) and Chief Controls Officer, Group Compliance
About the session
2022 will be another critical year for RegTech as the marketplace evolves and regulation evolves with it. Strong planning and co-ordination to align TradFi and digital asset rails. What are the key digital surveillance ML/TF priorities for 2022 and how should leaders think about charting their future course?
Regulatory Challenges
- The evolving regulatory landscape
- Standards
- Vendor assessment
- Ecosystem collaboration
- Future state architecture targets
New RegTech/SupTech drivers
- JWG: 10 Sanctions RegTech priorities here
- JWG: RegTech & Sanctions 2022 here
- JWG analysis on DeFi and the AML car here
- JWG economic crime RegTech analysis and RegCast here
- JWG AML and TM RegTech 2022 analysis here
- JWG Market Watch 69 and Surveillance RegTech here
- JWG analysis on Surveillance RegTech 2022 here
- RUSI future of Financial Intelligence Sharing FFIS here
- Policy tech sprints: ASET here
- The future of economic crime policing here
Director, Center for Securities Trading and Analysis