RegTech as a Competitive Advantage

23 May 2017

Location:

K&L Gates
One New Change
(Watling Street entrance)
London EC4M 9AF

According to a recent Thomson Reuters Survey, financial institutions on average spend £40m a year on compliance, with some spending up to £300M annually on compliance and customer due diligence. In an environment of constant regulatory change, and as the cost of compliance continues to rise, RegTech data aggregators offer a cost-effective compliance tool with improved customer experience and automated data-analysis.

K&L Gates panellists will be joined by industry experts Nirvana Farhadi, a thought leader in financial services RegTech compliance and Global Head of Financial Services RegTech at Hitachi, and Ronald Gould from ComplySci, a leading provider of strategic governance, risk and compliance solutions. Topics for discussion will include:

  • How RegTech can be leveraged to manage the demands of ongoing compliance and regulatory change
  • From Brexit to MiFID 2 and MLD4 - a summary of the key regulatory developments on the horizon that are driving demand for automated compliance solutions
  • Influencing the Board and ensuring that compliance and risk is high on the corporate agenda
  • Corporate innovation and scale-up strategies
  • This will be a chance to network with peers from your industry in an informal and confidential setting.

Speakers/Panelists:

  • Nirvana Farhadi, Global Head, Financial Services RegTech, Risk & Regulatory Compliance Affairs, Hitachi
    As the Global Head of Financial Services RegTech, Risk & Regulatory Compliance Affairs for Hitachi, Nirvana is the business owner and strategic leader for Hitachi’s Financial Services RegTech business. A thought leader and pioneer in the Financial Services RegTech sector, Nirvana is a global compliance, operations and risk expert across multiple Financial Services sectors, global regulations and jurisdictions. As the former Head of Regulatory Reporting at KPMG, Nirvana led the business; practice, and development for Regulatory Transaction Reporting. Nirvana has served as a lead regulatory expert across Trade, Transaction, Periodic, and Positional reporting requirement under various global regulations including, but not limited to: MiFID, MiFID2/MiFIR, EMIR, REMIT, DFA, SEC, CFTC, Hong Kong TR, Canadian TR, ASIC TR, Commodities Position Reporting, and Threshold reporting requirements. Between 2014-2015 she was appointed as the lead expert to a European Regulatory body on the MiFID II/MiFIR Transaction Reporting Technical Standards, and Instrument Reference Data Standard, as well as writing the approach for their consultation paper. As a Regulatory expert in the industry, Nirvana has provided training to a broad spectrum of industry stake holders, which have included global investment banks, Asset Managers, Trading Venues, Regulators, and Members of the European Parliament.
  • Jacob Ghanty, Partner, K&L Gates LLP
    Jacob Ghanty is Partner in the Financial Services practice of K&L Gates, with a special focus on payment systems and services and FinTech. Mr Ghanty advises clients on their regulatory strategy; on their dealings with regulators, and on transactional matters.
  • Ronald Gould, European Chairman, Compliance Science
    Ronald Gould is European Chairman of Compliance Science and is leading development of the firm’s UK/Europe operations. He is a strategic consultant in the financial services sector with extensive experience in both Asia and Europe. He is also Chairman of Think Alliance Group in Hong Kong, a Director of OneRe Insurance and the Senior Independent Director of JP Morgan Asia PLC.
  • Tom Wallace, Partner, K&L Gates LLP
    Tom Wallace is Partner in the corporate and transactional practice group at K&L Gates and advises on a broad range of transactions, including public and private fundraisings, private and public acquisitions, joint ventures and private equity and venture capital investments. Mr. Wallace has experience in a range of sectors, including, in particular, financial services and technology software, services and manufacturing.

Timings:
8:00 a.m. - Registration & breakfast
8:30 a.m. - Discussion start
9:30 a.m. - Discussion end

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