Presents

RegTech 2018

26th September
300 Barangaroo Avenue
Sydney

Presents

RegTech 2018

26th September
300 Barangaroo Avenue
Sydney

Presents

RegTech 2018

26th September
300 Barangaroo Avenue
Sydney

Drowning or Waving? How to Stay Afloat in a Tsunami of Compliance Technology

RegTech and SupTech (RegTech for supervisory agencies) are now seen as opportunities creating massive shake-ups in our financial institutions’ deep-rooted legacy banking IT systems and supervisory procedures. Traditional management of compliance, risk ID, regulatory reporting and transaction monitoring will certainly be revamped in the aftermath of the Royal Commission’s findings, to deal with the weaknesses in conduct and risk management, and to increase supervisory effectiveness.

But adopting new technology without having a strategic and overarching long-term view of where financial supervision should head is futile, which is why InnovationAus.com feels NOW is the moment to gather federal government policy makers, the financial institutions, the technology providers and the regulators, all under one roof to examine the national strategy for financial regulation and the way forward for each stakeholder.

The event will gather Chief and Heads of Compliance, Chief Risk Officers and CTOs from the Financial Services sector; Heads of Change & Transformation; Innovation; Audit; and Wealth Management, CEOs, MDs and founders from Fintechs and Regtechs; and senior executives from ASIC and APRA

 

WHY ATTEND?

Join 120+ government, academic and industry leaders who will be discussing the strategic role Regtech and Suptech will play in the regulated financial sector moving forward, including:

  • Will Australian RegTech partnerships be crucial for banks moving forward, in light of the Banking Royal Commission?

  • Will we see a rise in SupTech and can it tackle the challenges faced by ASIC and APRA?

  • Do we need Government policy and investment to grow the sector, to ensure banks enhance their regulatory practices?

  • The universe of RegTech is growing with new, innovative participants – it’s an exciting market – but how can the banks stay afloat amidst the tsunami of emerging regulatory tools?

  • What RegTech tools actually make it easier for firms to interact with regulators, at a lower cost and administrative burden?

  • The role of policy – incumbent institutions are reticent to work with third party fintechs - what role would be most useful for policy to play in order to foster development and adoption of RegTech in financial services?
     

Agenda

7:30am

Registration and Hot Buffet Breakfast

8:00am

Ministerial Address

The Hon. Victor Dominello MP, Minister for Finance, Services and Property, NSW Government

8:10am

How Disruptive Technologies Are Re-shaping the RegTech Landscape

Benjamin Yablon, Special adviser to OECD and EVP & Director of Global Strategy, Salt Lending Holdings, Inc

8:25am

Supervisory Technology (SupTech) - Should we regulate the regulators?

Steven Bardy, Managing Director, Promontory Financial Group Australasia

8:35am

Overcoming large bank issues when engaging RegTech startups

Samantha Carroll, Legal and Compliance Expert & Former Head of Group Compliance, BOQ

8:45am

Panel: Aligning Expectations – Shedding Light on the Bank-Regtech Relationship

Moderator:

James Riley, Editorial Director, InnovationAus.com

 

Panellists:

Astrid Raetz, Partner, KPMG Australia

Samantha Carroll, Partner, Carroll Legal and Compliance

Samantha Clarke, Chief Executive Officer and Co-Founder, Advice RegTech 

Loretta Joseph, Special Adviser to OECD & Director, International Regulatory Advisory, Paradym Global Ltd

9:30am

Morning tea and networking

10:00am

International Case Study: AI And Regulation Interpretation

Joseph  Weinberg, Co-founder & Chief Executive Officer, Paycase Financial

10:15am

The impact of AI and Big Data technology on anti-fraud and financial crime compliance

Dr Peter O’Hanlon, Advisory, AUSTRAC

10:25am

The role of regulators in creating a supportive environment for RegTech innovation:

Mark Adams, Senior Executive Leader - Strategic Intelligence, ASIC

10:35am

Surfing The Compliance Tsunami – Operating in an Ever-changing World

Evan Wong, Chief Executive Officer, Checkbox.ai

10:45am

Regtech's Future: With the overlay and interaction of the many regulatory bodies making it virtually impossible to see the bigger picture to drive a common solution – do we need a central regulatory body?

Moderator:

James Riley, Editorial Director, InnovationAus.com

 

Panellists:

John Karantzis, Managing Director and Chief Executive Officer, iSignthis
Dr Peter O’Hanlon, Advisory, AUSTRAC
Mark Adams, Senior Executive Leader - Strategic Intelligence, ASIC
Sean Carmody, Executive General Manager of the Risk and Data Analytics Division, APRA

11:30am

Closing remarks and End of Forum

Speakers

Official Event Host

KPMG

Speaker Bios

The Hon. Victor Dominello MP

The Hon. Victor Dominello MP

Minister for Finance, Services and Property, NSW Government

Victor was pre-selected by the Liberal Party in September 2008 as its candidate for the State by-election in the seat of Ryde. Victor was elected to the NSW Parliament at the Ryde By-Election held on 18 October 2008 with a swing of 23.1 per cent, one of the largest in the State’s history.

At the 2011 election, Victor was re-elected as Member for Ryde with an extra 12.6 per cent of the vote. This completed a 35.7 per cent swing from the 2007 election.

Victor was sworn in as Minister for Aboriginal Affairs and Minister for Citizenship and Communities. His responsibilities included veterans’ affairs, volunteering, youth and multicultural affairs.

Following Mike Baird appointment as NSW Premier in April 2014, Victor became Assistant Minister for Education and while retaining his previous portfolio responsibilities, Veterans’ Affairs was added to his official title.

Following the Baird Government’s re-election in March 2015, Victor was sworn in as the state’s first Minister for Innovation and Better Regulation.

In January 2017 Victor was appointed Minister for Finance, Services and Property.

Mark Adams

Mark Adams

Senior Executive Leader - Strategic Intelligence, ASIC

Mark leads ASIC's Strategic Intelligence team that provides specialist strategic risk, research and data analytical advice and support to the Commission and ASIC's business teams. This team includes ASIC's behavioural economics unit. Mark also leads ASIC's internal coordination team that implements ASIC's Innovation Hub initiative.

During his time at ASIC, Mark has held a range of senior executive positions at ASIC including lead of ASIC's competition in equity markets project and the Exchange Market Operators, Regulatory Policy and International teams.

In recent years, Mark was seconded to the Financial System Inquiry Secretariat in 2014 as a Principal Adviser and to the Ontario Securities Commission in 2012-13 as Director, Strategy, Research and Risk.

Prior to joining ASIC, Mark worked in the corporate and superannuation areas of a national law firm.

Samantha Clarke

Samantha Clarke

Chief Executive Officer and Co-Founder, Advice RegTech

Awarded Innovator of the Year in the 2018 Money Management and Super Review Women in Financial Services Awards, Samantha Clarke is CEO and Founder of Advice RegTech. Experience spanning 25 years in financial services includes Executive Director roles at blue-chip multi-nationals; NFP advisory; and start-up commercialisation.

An experienced leader of strategic initiatives; product development, marketing, corporate affairs, distribution, policy negotiations and advocacy, government and regulator relations. Samantha advises businesses navigating innovation and tech disruption, regulatory compliance policy imperatives and strategic transformation.

Advice RegTech's SAMI solution was recognised as Compliance Innovator of the Year finalist in the Fintech Business Awards and was also showcased in ASIC's inaugural RegTech event. Advice RegTech is a member of both FinTech Australia and a founding member of the RegTech Association, where Samantha also volunteers to support the growth of the sector and is a sought after speaker on RegTech, FinTech and InsurTech.

An expert in the financial services sector, Samantha consulted to a peak association as GM leading policy & professionalism. This included negotiations with the Minister, Treasury and Regulators, and resulted in key improvements to the Government's financial services policy positions on Professional Standards and Life Insurance reforms. Samantha was recognised as Association Leader Finalist in the 2017 Women in Finance Awards.

An early signatory to the Banking and Finance Oath, Samantha supports ethical professionalism, culture, diversity and inclusion, with a track record of empowering, recognising and nurturing high quality talent.

John Karantzis

John Karantzis

Managing Director and Chief Executive Officer, iSignthis

John Karantzis is founder and CEO of iSignthis Ltd (ASX : ISX |FRA : TA8), and he also leads the Central Bank of Cyprus licensed EEA Authorised eMoney Institution, iSignthis eMoney Ltd (trading as ISXPay™).

John is qualified in electrical engineering, commercial, regulatory & IP law, and business (University of Melbourne) with a broad understanding of international regulatory regimes as they relate to payments, money laundering and identity. John has over 25 years experience across a number of sectors including payments, online media, AML, defense and secure communications. In particular, John’s experience includes application of technology to assist with remote enhanced due diligence, across a number of FATF legislative model jurisdictions.

John has also been the inventor of a number of granted and pending EU/US/Australian patented technologies, all of which are related to the payments and AML sector. John has previously been Managing Director/CEO of Australian Securities Exchange publicly traded ReelTime Media Ltd (ASX : RMA) and Director/CEO of Data & Commerce Ltd (ASX : PNW). 

Astrid Raetze

Astrid Raetze

Partner & Australian Head of FinTech, KPMG

Astrid Raetze is a partner in the Sydney office of KPMG. She is the Australian Head of FinTech for KPMG. She specialises in financial services, banking, regulatory issues, derivatives, financial products and FinTech.

Clients seek Astrid out for her market leading understanding of financial services, products, markets and the relationship and interplay between participants in the financial services space. Astrid is also a leading advisor to players in the newly emerging FinTech industry as well as to banks, investment banks, investment managers, hedge funds, product issuers and exchanges.  She has been instrumental in the structuring and establishment of innovative financial products (both listed and OTC).

Astrid was short-listed for the 2017 Financial Times Innovative Lawyer of the year, Asia Pacific. She is popular with her clients who describe her as an ”outstanding commercial adviser” and a “leader in the structured products space in Australia”, Chambers Asia Pacific – Financial Services Regulation 2017. Astrid is also valued by her clients and peers as one of the “Best Lawyers in Australia for Funds Management” according to the Australian Financial Review’ Best Lawyers Survey.

 

 

Sean Carmody

Sean Carmody

Executive General Manager of the Risk and Data Analytics Division, APRA

Sean Carmody was appointed as Executive General Manager, Risk and Data Analytics in December 2017. This Division has responsibility for risk analysis and risk response, it aims to identify risks early in their emergence and ensure that regulated entities respond appropriately to them.

Mr Carmody has over 20 years experience across banking, financial markets and funds management. Prior to joining APRA he was General Manager, Risk Analytics and Insights at Westpac where he had responsibility across risk modelling and reporting, market risk and liquidity risk. Mr Carmody has also held roles at Westpac as Head of Credit Risk, Head of Market Risk and the Head of Credit Portfolio Management in WIB. His previous experience includes working in funds management (Barclays Global Investors) and investment banking (Deutsche Bank) and his qualifications include a PhD in Pure Mathematics from St John's College, Cambridge.

Steven Bardy

Steven Bardy

Managing Director, Promontory Financial Group Australasia

Steven is an expert in global securities regulation. He advises clients on managing conduct risk, designing and implementing remediation programs, and responding to emerging regulatory developments. He manages our Sydney office.

Before joining Promontory, Steven was a member of the Australian Securities and Investments Commission’s strategy-leadership team advising on and guiding the commission’s contribution to the global regulatory agenda. He held a significant leadership role at the International Organization of Securities Commissions, representing ASIC on IOSCO’s board. He participated in developing key post-crisis global regulatory reforms, was the inaugural chair of IOSCO’s assessment committee (leading projects for reforming the regulation of money-market mutual funds and financial benchmarks), and led a strategic review of securities regulation in emerging markets.

Previously, as a consultant, Steven advised ASIC on regulatory responses to new-product developments, implementation of regulatory reforms for collective investments, and market-surveillance strategies. During his tenure at Westpac, he oversaw groupwide regulatory affairs, developed the bank’s compliance intelligence, and played a leading role in the integration of operational risk and compliance management. Earlier in his career, at a boutique consulting firm, he advised global financial institutions on strategies for entry into Australia and advised local and regional banks on customer-loyalty programs. Steven has also served as an adviser to the government of Victoria, Australia, and as an attorney in the tax and finance practices of an international law firm.

Dr Peter O’Hanlon

Dr Peter O’Hanlon

Advisory, AUSTRAC

Peter has been working with analytics and product teams for over 15 years, and comfortably bridges analytics, information technology, people, risk, strategy and governance functions. He has established a number greenfield sites, and reinvigorated several analytics teams in the banking, government, and technology sectors, with prior roles at Westpac, Commonwealth Bank, the Australian Crime Commission, Customs and Border Protection, WorkCover NSW, Oracle, SAS and several start-up ventures, including two that he founded, and subsequently sold. 

Peter is currently the founding principal of Lever Analytics, an advisory business that has been helping business such as Westpac, CoreLogic, Bank of Queensland, and AUSTRAC link their people data with business outcomes to drive value, and co-founder of OfficeSpark, a start-up focussed on amplifying organisational effectiveness by embedding and quantifying values for workplace transformation. Peter is also a founding board member of the Institute of Analytics Professionals of Australia (IAPA), an adjunct associate professor of data science at two Australian universities, is a patent holder, and earned a PhD in bio-informatics from the Australian National University.

Samantha Carroll

Samantha Carroll

Legal and Compliance Expert & former Head of Group Compliance, BOQ

A former recipient of Queensland's Emergent Woman Lawyer of the Year and short-listed as Chief Compliance Officer of the Year for the C5 International Compliance Awards in 2018, Samantha is recognised as a leading expert in her field. Samantha has 15 years-experience in private practice, including 10 years in the Regulatory Compliance division of a top tier law firm and 3 years as the Head of Compliance for a mid-tier bank. Her unique skills as an accredited Governance, Risk and Compliance professional, together with her legal and regulatory response background sets her apart from other compliance professionals in the market.

Using the invaluable commercial insight she has gained through numerous secondments in both a legal and compliance capacity as well as her practical experience leading a compliance function, Samantha gives sharp, practical advice and strategic advice. Clients appreciate Samantha's empathetic approach to their daily business challenges as she designs systems that are legally compliant and enables them to compete with confidence.

Samantha is an accredited compliance professional with the GRC Institute and has previously held governance/director positions a non-executive director of Stadiums Queensland, member of the management committee of the Queensland Public Interest Law Clearing House and member of the CSIRO Ethics Committee for Social Science.

Samantha has significant experience advising public and private sector clients on the implementation, upgrading and review of their compliance systems.

Samantha’s blended legal and compliance expertise enables her to provide holistic advice that focuses of the practical implications as well as the legal implications of the legal and regulatory obligations which apply to organisations.

Evan Wong

Evan Wong

Co-founder and Chief Executive Officer, Checkbox

Evan is the co-founder and CEO of Checkbox (checkbox.ai), a multi-award winning platform that transforms regulatory processes into software applications that automate expert decision-making and documentation, all without coding. Organisations use Checkbox to boost productivity and manage risk, enhance customer experience, and even generate new streams of revenue. Evan has spent his entire career as an entrepreneur, having founded another award-winning company, Hero Education, at the age of 17 prior to founding Checkbox.

Loretta Joseph

Loretta Joseph

Special Adviser to OECD & Director, International Regulatory Advisory

Loretta is a highly dynamic, skilled banking, financial and consulting professional with over 25 years in financial markets and related sectors. She has a worked for major investment banks at Board, MD or senior management level throughout Asia and India including, RBS (India), Macquarie Group  (India), Deutsche Bank, Credit Suisse and Elara Capital (India), Spanning a long career, Loretta has tremendous exposure to global financial markets, multiple asset classes and emerging market environments. Loretta has advised many international banks, global hedge and pension funds on managing portfolio and exposure to derivatives and related products.

For the last decade, she has been paramount in successful transaction facilitation for Foreign Investors in India and other emerging markets. She has operated in many multi-cultural organisations. Loretta sits on the advisory board of UWS (Business School), Blume Ventures (India).An adjunct fellow at UWS (Australia).Chair of the advisory board of  ADDCA (Australian Digital Currency and Commerce Association) and holds various advisory positions for multiple tech, biotech and Cybersecurity companies  . Loretta champions the cause for responsible blockchain adoption with global governments , regulators and industry players . She was the recipient of the Fintech Australia, "FinTech Leader of 2017", “Female leader of 2016” and Sancta Sophia College (Within Sydney University) Alumni Award 2016 for Social impact

Joseph Weinberg

Joseph Weinberg

Co-founder & Chief Executive Officer, Paycase Financial

An early investor in Bitcoin and director at Coinsetter until its acquisition by Kraken FX in 2016, Joseph Weinberg knows his way around the digital currency world.

Currently, Joseph is the Chairman of Shyft, the world’s first blockchain-based trust network that facilitates KYC/AML and other attested data transfers. Joseph is also known as a co-founder and CEO of Paycase. The leading value network and a proud TMX Shorcan partner, Paycase merges traditional and crypto finance, providing infrastructure and liquidity to global financial markets. Joseph's diverse experience also includes business development roles at Xtreme Labs and Pivotal Inc., where he worked on some of the largest mobile applications used around the world today. Passionate about advancing mass-adoption of crypto and blockchain, Joseph also serves as an advisor to the OECD.

Benjamin Yablon

Benjamin Yablon

Special adviser to OECD and EVP & Director of Global Strategy, Salt Lending Holdings, Inc

Benjamin is an experienced blockchain strategist with a demonstrated history of working in the financial technology industry. Co-founder of SALT Lending. He is skilled in international expansion. Benjamin has strong business development and leadership skills and is a published author and accomplished public speaker.

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