Workshop - Regtech: Data, Risk and Compliance

Regtech: Data, Risk and Compliance

Regtech: Data, Risk and Compliance | Virtual pre-conference workshop

Conference starts at 09:00 am (BKT) | 10:00 am (HKT)

08:4509:00

Registration

08:45 - 08:46

09:0010:00

Technology, Security and Regulation: Introduction & Overview Summary

09:00 - 09:45

  • What is Regtech?
  • Analysis of how AI/ML plays a role in regulation and security as twin methodologies for managing and reducing risk in financial services
  • How Regtech fits into different functions of financial services
  • How Regtech ranges across the entire compliance spectrum
Martin Leo

Managing director, Regional Head of Technology Business Control

State Street Bank

Dr Martin is the APAC head of Technology Business Controls for State Street Bank, responsible for 1st line technology operational risk management across APAC. He has over 25 years of experience in diverse strategic and hands on leadership roles in the industry. Prior to State Street was the Head of Asia Risk at Morgan Stanley IM and earlier with ING as Chief Administrative Officer for ING Investment Management's India business and Asia Pacific Head of Non Financial Risk. In these roles he has held responsibility for Enterprise Risk Management, Operational Risk, IT Risk Management and Infosec. 

He holds a DBA, MBA, is a certified Financial Risk Manager (FRM), CISSP.

10:0011:00

Prudential Risk Management Framework

09:45 - 10:45

  • Creating and managing regulatory change management frameworks within your company
  • How to ensure best risk management in;
    • Financial risk
    • Non-financial risks
  • Ensuring a group risk taxonomy
Martin Leo

Managing director, Regional Head of Technology Business Control

State Street Bank

Dr Martin is the APAC head of Technology Business Controls for State Street Bank, responsible for 1st line technology operational risk management across APAC. He has over 25 years of experience in diverse strategic and hands on leadership roles in the industry. Prior to State Street was the Head of Asia Risk at Morgan Stanley IM and earlier with ING as Chief Administrative Officer for ING Investment Management's India business and Asia Pacific Head of Non Financial Risk. In these roles he has held responsibility for Enterprise Risk Management, Operational Risk, IT Risk Management and Infosec. 

He holds a DBA, MBA, is a certified Financial Risk Manager (FRM), CISSP.

11:0011:15

Morning break

10:10 - 10:40

11:1512:15

Developing Data & Challenges of Regulatory Reporting

11:00 - 12:00

  •  The challenges with regulatory reporting today

    o   Siloed systems

    o   Lack of data standards and API readiness

    o   Transparency and trust

  • Finding the value of risk data in financial institutions using Regtech

    o   Siloed v's holistic

    o   Manual v's automated

    o   Collation v's analytics

  • Engaging regulators and key industry bodies

    o   Collaboration is key

Ruth Hatherley

CEO & Founder

Moneycatcha

Ruth Hatherley - the driving vision of 'Connecting Organisations with Truth' in the company Moneycatcha has lead to some amazing innovation in finance risk data management and resulted in Ruth as the company's Founder and CEO being awarded Winner of AFR Qantas 100 Women of Influence 2018, Fintech Entrepreneur of the Year and Fintech Business Excellence Award (Individual) in the 2019 Fintech Business Awards. Ruth has raised over $2.5 million for Moneycatcha and has innovated with HSBC Australia, Western Australian Governmentt and key Risk & Finance Industry bodies in Australia like the Regtech Association. Moneycatcha just commenced an Early Adopter Program with a cross section of industry participants (banks, aggregators, Industry Bodies and emerging tech companies) who are all keen to see their data working in Moneycatcha solutions and what specific benefits Regchain's automated risk management can deliver to them.

12:1512:15

End of Risk ASEAN virtual conference Day 1

12:00 - 12:05

Conference starts at 09:00 am (BKT) | 10:00 am (HKT)

09:0010:00

Fraud, Crimes and Security

09:00 - 10:00

  • Cybersecurity- Data and Related Technologies
  • Cybersecurity - Human Related Issues
  • AML/CFT surveillance technologies
  • E-KYC
Anzar Mulyantoro

Bank Mandiri

Head of AML Advisory Department

Educations: 
• Master of Management majoring in Financial Management from University of Gadjah Mada (UGM) Yogyakarta with GPA 3.57 – Graduated 2007
• Economics Degree majoring in Accounting from Indonesia College of Economics – Sekolah Tinggi Ilmu Ekonomi ‘Indonesia’ - STEI, Jakarta with GPA 3.15 – Graduated February 2001
ADDITIONAL EDUCATIONS/CERTIFICATIONS :
• Executive Education at University of Michigan Stephen M. Ross School of Business, Ann Arbor-Michigan USA.
• International Advanced Certificate in Compliance and Financial Crime from International Compliance Training (ICT), Birmingham, UK – Certified.
• Certified in Anti-Money Laundering Specialist (CAMS) from Association of Certified Anti-Money Laundering Specialists-ACAMS, Miami, USA.
• Anti-Money Laundering & Counter-Terrorism Financing Conference organized by ACAMS
• AML & CFT Certification organized by Indonesian Financial Transaction Reports and Analysis Centre – Central Bank of Indonesia – Communication Forum of Compliance Director
• Risk Management Cetification - Level 3
• Financial Crime and Compliance Training (Fraud Prevention and AML/CFT Compliance) organized by Bankers Association for Risk Management (BARa)
• Risk Management Certification from Indonesian Bankers Association

Work experiences: 
A. BANKING ORGANIZATION : PT Bank Mandiri (Persero) Tbk.
- Head of AML CFT (January 2017 – now)
- Head of Decentralized Compliance & Operational Risk (April – December 2016)
- AML CFT Team Leader (June 2014 – March 2016)
- Compliance Officer (June 2008 – May 2014)
- Accounting Staff (July 2002 – May 2008)

B. PUBLIC SPEAKER / TRAINER / LECTURER :
• Financial GRC Week – AML & Financial Crime Asia Summit 2019, Singapore, “Know Your Correspondent’s (KYC-C): De-Risking Correspondent Banking”
• Financial GRC Week – AML & Financial Crime Asia Summit 2018, Singapore “Establishing a Comprehensive Financial Crime Risk Framework across Client Onboarding and Surveillance”.

10:0011:00

Regtech and AI Empowering Risk Management and Regulatory Compliance

10:00 - 11:00

  • Regulatory technology solutions enhancing compliance efficiency 
  • Conventional compliance model vs digital transformation with regtech
  • Case study: What other banks are doing
Jonathan Morgan

Founder

Kobe International Blockchain Research Centre

Experienced risk specialist and a lead researcher in AI, Machine Learning & Blockchain, with a passion to be the bridge between traditional banking and digital transformation. 16+ years track record of transforming business operations, enhancing processes via technologies, re-defining policies and frameworks in the risk & compliance environment and launching new ventures partnering with solution providers. 

11:0011:15

Morning break

10:10 - 10:40

11:1512:15

Blockchain technology impacting traditional business models across industries

11:15 - 12:15

  • What is blockchain and understanding the fundamentals 
  • How blockchain is evolving from proof of concepts to current implementations across industries 
  • Blockchain transforming regulatory compliance
Jonathan Morgan

Founder

Kobe International Blockchain Research Centre

Experienced risk specialist and a lead researcher in AI, Machine Learning & Blockchain, with a passion to be the bridge between traditional banking and digital transformation. 16+ years track record of transforming business operations, enhancing processes via technologies, re-defining policies and frameworks in the risk & compliance environment and launching new ventures partnering with solution providers. 

12:1512:15

End of Day 2

12:15 - 12:16

Conference starts at 09:00 am (BKT) | 10:00 am (HKT)

09:0010:00

Next Generation of Regtech: Suptech and Global Trends and Government Initiatives in RegTech

09:00 - 10:00

  • BigTech versus FinTech versus RegTech versus SupTech
  • The why behind Regtech
  • Effectiveness versus Efficiency
  • Rate and state of adoption across key APAC markets
  • Key drivers for RegTech adoption
  • How regulators and governments are shaping the take up for RegTech
  • The dynamics behind success and barriers to adoption
  • The Impact of COVID-19 on RegTech
  • The SupTech journey and key stages
Guy Sheppard

Head of APAC Financial Crime, Intelligence and Initiatives

SWIFT

10:0010:15

Morning break

10:10 - 10:40

10:1511:15

DISCUSSION: Effectiveness versus Efficiency the Financial Crime balancing act

10:00 - 11:00

  • Technical / regulatory compliance versus being effective
  • How do you measure effectiveness?
  • What metrics should senior managers be using to demonstrate the effectiveness or efficiency of their AML programs
  • The need for technology versus human analysis
  • Transaction monitoring system
Peter Deans | Moderator

Former CRO; Director

The Regtech Association

Peter Deans is a former Chief Risk Officer.  Peter retired in May 2019 after seven years as Group Chief Risk Officer of the Bank of Queensland (BOQ) in Australia and a finance career of over 32 years. Peter was awarded Australian Banking & Finance magazine’s Chief Risk Officer of the Year award in 2014, 2015, 2016 and 2018.

Peter now undertakes selected risk and strategy advisory engagements in the financial services, corporate and start up/technology sectors.  Peter is a regular speaker, in Australia and overseas, on risk management, ethics, technology, and regulatory and compliance topics. 

Peter is also the Creator & Founder of the 52 Risks management framework (www.52Risks.com) and a Non-Executive Director of The Regtech Association in Australia.

Anzar Mulyantoro

Bank Mandiri

Head of AML Advisory Department

Educations: 
• Master of Management majoring in Financial Management from University of Gadjah Mada (UGM) Yogyakarta with GPA 3.57 – Graduated 2007
• Economics Degree majoring in Accounting from Indonesia College of Economics – Sekolah Tinggi Ilmu Ekonomi ‘Indonesia’ - STEI, Jakarta with GPA 3.15 – Graduated February 2001
ADDITIONAL EDUCATIONS/CERTIFICATIONS :
• Executive Education at University of Michigan Stephen M. Ross School of Business, Ann Arbor-Michigan USA.
• International Advanced Certificate in Compliance and Financial Crime from International Compliance Training (ICT), Birmingham, UK – Certified.
• Certified in Anti-Money Laundering Specialist (CAMS) from Association of Certified Anti-Money Laundering Specialists-ACAMS, Miami, USA.
• Anti-Money Laundering & Counter-Terrorism Financing Conference organized by ACAMS
• AML & CFT Certification organized by Indonesian Financial Transaction Reports and Analysis Centre – Central Bank of Indonesia – Communication Forum of Compliance Director
• Risk Management Cetification - Level 3
• Financial Crime and Compliance Training (Fraud Prevention and AML/CFT Compliance) organized by Bankers Association for Risk Management (BARa)
• Risk Management Certification from Indonesian Bankers Association

Work experiences: 
A. BANKING ORGANIZATION : PT Bank Mandiri (Persero) Tbk.
- Head of AML CFT (January 2017 – now)
- Head of Decentralized Compliance & Operational Risk (April – December 2016)
- AML CFT Team Leader (June 2014 – March 2016)
- Compliance Officer (June 2008 – May 2014)
- Accounting Staff (July 2002 – May 2008)

B. PUBLIC SPEAKER / TRAINER / LECTURER :
• Financial GRC Week – AML & Financial Crime Asia Summit 2019, Singapore, “Know Your Correspondent’s (KYC-C): De-Risking Correspondent Banking”
• Financial GRC Week – AML & Financial Crime Asia Summit 2018, Singapore “Establishing a Comprehensive Financial Crime Risk Framework across Client Onboarding and Surveillance”.

Benjamin Buckingham

VP Strategy & Partnerships

Identitii Limited

Ben runs product and partnerships at identitii, a fintech company providing trust and transparency in financial services.  He started his career as a banking and finance lawyer at Allens Linklaters, working as an advisor to financial institutions, before moving to management consultancy McKinsey and Company. Ben has been integral in Identitii’s rapid expansion to date and is responsible for supporting its growing global customer base as well as driving product strategy to meet customer needs. Ben holds a Bachelor of Science and Bachelor of Laws from the University of Sydney.

Guy Sheppard

Head of APAC Financial Crime, Intelligence and Initiatives

SWIFT

11:1511:15

End of Day 3

12:00 - 12:01