A spotlight on the business impact of digital regulation  

Objective

To stimulate holistic debate over the digital approach to FS sector supervision

Outcome

Contextualise strategic issues and inform strategies for effective development of digital policies and deployment of new technologies in a better, faster, cheaper and safer manner.

Format

Fast paced, key question-driven 30-minute podcasts hosted by JWG with at least 2 expert speakers and subject matter experts

Target regulator / regulated audience: 

  • C-level executives
  • Policy formulators
  • Standard setters
  • Operations and data
  • Technology

Background

In 2021 the Financial Services sector is undergoing a transition on three fronts:

  • Continued digitalization of the infrastructure and demand for digital integrity
  • A second decade of post 2008 reforms and demand for more granular controls
  • The new post-COVID economic reality of banking in a post Brexit, post Trump world

Key Topics

  • Financial Markets: Trading, market abuse and regulatory reporting
  • Digital Infrastructure: Cloud, data, new technology and risk controls.
  • Money laundering: 5MLD transparency obligations and new data rules
  • Conduct & culture: SM&CR, MiFID III, BoE Future of Finance – new digital rule books

Listener Benefits

  • Understanding political mandate shifts driven by failures, fines and national agenda
  • Contextualising new demands from regulators, and their impact on current practices
  • Informing strategies for how to get ahead

Speaker Benefits

  • Promote your views/ highlight your institution’s priorities, needs and offerings
  • Raise awareness to alternative strategies/ ways of overcoming challenges
  • Engage in debate with your peers from around the world

Provisional RegCast 2021 Agendas

In 2021 the Financial Services sector is undergoing a transition on three fronts:

Audience

Title

Challenges

New RegTech drivers

Supervisors, Risk, Surveillance, Data

Regulatory culture and technology

The LCF Review

The Connaught Review

The FCA response

Transformation, Reg affairs, Data, Technology

Reg digitisation strategies

EU digital strategy/ MRER

UK BoE data collection/ DRR

ADGM unifying framework

Cloud

Data

Standards

Innovation, Transformation, Data, Technology

Post-Covid digital finance

AI, Cyberattacks,

Crypto

Digital Currencies

CBDC

De Fi

DLT

Tokenizing assets

Risk, ESG, Data

Green reporting and markets

IFRS requirements

Global standards

TCFD standards

DRR

Compliance, Surveillance, Conduct regulators

Culture audits

Conduct

Culture

MAR

SM&CR

Holistic surveillance

Voice / eComms post COVID

MLROs, Conduct risk, Data, Technology

Protecting the digital system (KYC/AML)

Safe, shareable, cross-border data assets with DLT and homomorphic encryption

The future of identifiers and common reference data

UK economic crime plan

AML fines

New EU plans for AML

Global TechSprint findings & ICO view on PET & AI

Front office, Markets Policy, Technology, Data, Procurement

Digital Markets post Brexit & MiFID III

Transparency

Best execution

Market data

Consumer protection

Regulatory reporting

PET

Tokenization

De Fi

Technology, Data, Procurement, ESG, Conduct regulators

Leashing BigTech

Divergence of international cloud standards

Direct supervision of CSPs

Breaking up Facebook

Operational resilience

Cloud

Data

Cyber security

Operational resilience

ESG risk factor K

Front office, Transformation, Compliance, Operations, Technology, Data

Mapping the regulatory Genome

Cambridge Centre for Alternative Finance (CCAF) (video here)

Regulatory obligation tracking

Industry collaboration

Ecosystems

All

The regulatory horizon 2021

What 28,000 documents tell us about 2021 priorities

Top 10 lists

Priorities

Plans

RegTech opportunities

Collaboration

Front office, Transformation, Compliance, Operations, Technology, Data

Market abuse post COVID

New Market Abuse demands

Policy impact

Fines, threats and reality

SM&CR

MAD/ R

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