Digital Finance Agenda
For speaking opportunities or to register interest in attending please Contact Us
Objective
In this seminar, leading De Fi, Digital Asset and TradFi SMEs will articulate the key challenges of connecting fast moving private markets to public ones and what RegTech can do to help align shareholder, customer, firm and regulatory interests.
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
Trading; Middle office; FinTech; De Fi; FMI, Regulators
Regulatory SMEs: heads of regulatory change, compliance, legal
Executive decision-makers: CDOs, CIOs, CAOs, COOs, heads of eCommerce, heads of market structure
Digital Finance Agenda
For speaking opportunities or to register interest in attending please Contact Us
About the session
As more assets move ‘onto the chain’, TradFi and DeFI compliance trading obligations are moving to on-chain monitoring, AML and investor protection. Digital controls will call into question the role of the custodian, FMI, client and brokers. How can RegTech help join digital and TradFi rails?
Regulatory Challenges
- Interoperability
- Standards
- Data
New RegTech/SupTech drivers
• Digital integrity
• Tokenizing compliance
• Digital supply chains
• Model-driven controls
About the session
Regulatory frameworks in developed economies are being adjusted to accommodate institutional needs. Permissioned block trading will require legal certainty, standards interoperability and tokenized infrastructure. How will market and regulatory demand drive digital rail development?
Regulatory Challenges
- EU Parliament DLT pilot
- ISOCO De Fi report
- FCA notice to regulated firms with cryptoassets
- BoE crypto and De Fi
- PRA dear CEO letter on cryptoassets
- BIS DeFi research here
- E-securities act (DE bonds, funds)
- CSSF DLT paper
- Lux: issuance/ settlement on DLT
- US SEC: no-action letter re: ATS role in settlement of digital assets
- Tokenized fund law (DE)
- Digital fund services (DE)
- US SEC: T+1 settlement proposal
New RegTech/SupTech drivers
- International regulatory alignment
- Global ledger interoperability
- Standard dictionaries
- Standard identifiers (e.g., LEI, UPI, DTI)
- Glossaries and best practices
- Governance and dispute resolution
About the session
Purveyors of digital assets face a dichotomy of slow-moving regulatory expectations which lag behind technical capabilities and customer expectations. What are the key safety trends which RegTech can help get out in front of?
Regulatory Challenges
- BIS crypto asset AML
- Marketing/ Financial promotions
- Issuance / prospectus
- AML/ KYC/ Travel rule
- X- border trading/ treasury/ tax obligations
- On/Off-ramp processing (payments)
- OpRes and Cybersecurity
New RegTech/SupTech drivers
- Supervisory data sharing
- Digital Asset standards (e.g., EC travel rule)
- FATF Virtual Assets 12 month review – travel rule
- HMT crypto asset promotions
- Identity systems /Product information
- Client suitability screening
- Compromised ledgers & OpRes
About the session
Brand-new chain data sets provide Digital Asset transparency, but require complex, deep and market-sensitive analysts to spot market manipulation and illicit activity required by institutional investors. How does RegTech help the 2nd line of defence mitigate risks in the right way?
Regulatory Challenges
- BIS crypto asset AML
- On-chain monitoring
- Surveillance/ SARs
- Best execution
- T0 settlement
- P2P market
New RegTech/SupTech drivers
- Supervisory data sharing
- Digital Asset standards (e.g., EC travel rule)
- FATF Virtual Assets 12 month review – travel rule
- Trade Surveillance
- eComms surveillance
- SARs reporting
- ESMA DLT pilot
- Wholesale CBDC
About the session
Compliance is being tokenized, workflows are being certified, clients credentialed, and new economic activity stimulated – all with regulatory transparency. However, lots of boxes need to be ticked to establish market trust and confidence. How will digital assets operate on the rails of traditional finance and what is the role of RegTech?
Regulatory Challenges
- Embedding changing rules / tokenization to assets
- Auditability of compliance rules back to obligations
- Linking controls to fast moving, interconnected product lifecycles
- Regulatory reporting
- Market / Reference data
- Thid party risk management
- Operational resilience
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 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
- Horizon scanning / digital rule book
- Policy management
- Model-driven controls
- Control standards
- Digital accountability
- Digital regulatory reporting
