10th Edition: AI Deep Dive
Keep Pace With Evolving Regulations & Trends & Balance Risk & Reward With Real-Life FS AI Applications To
Achieve Proactive, Future-Facing Risk & Compliance Strategies In Financial Services With The Latest Regulatory Updates & AI Insights
Design Watertight AI Policies With Strict Controls, Ensure Operational Resilience In The Face Of AI & DORA Regulations, Minimise Third-Party Risk & Lay Strong Foundations To Safeguard The Business Against New & Evolving Technologies
08.30 Registration, Informal Networking & GIC Welcome
09.10 Morning Chair’s Opening Remark
Interpreting & Reacting To New Regulations
09.10 Lead The Business On New Regulations By Proactively Interrogating & Interpreting New Regulations For Change-Ready, Compliant Businesses
- What is on the horizon from regulators? And how is the regulatory forecast changing across different markets?
- Third-party risk, AML, cyber security, operational resilience… where are regulators looking to focus their attention next?
- Change-receptive cultures, how can you engage all departments behind evolving regulations and new updates to achieve swift integration, watertight compliance and business-as-usual
Mary Yetunde Reuben, Head of Internal Audit, Controls and Governance Assurance, UBA UK
The Compliance Of AI
Update & Regulate
09.30 Outlining The Practical Steps To Achieving AI Compliance In Day-To-Day Financial Services Operations
- Post EU AI Act, how is the blacklist working in practice?
- Define and enforce acceptable usage policies throughout the organisation
- From chatbots and process automation to marketing copy and data analysis – with so many potential AI applications throughout the business, how can we enforce high compliance standards across every department?
Cameron Craig, Deputy General Counsel, Global Head of Data Legal, HSBC
The Legal & Regulatory Frameworks For AI In Financial Services
09.50 From The UK To The EU To The US: Examining The Rollout Of AI Regulatory Frameworks & The Real-World Impact & Strategies
- As AI acts mesh into the fabric of our day-to-day activities, what can we expect from the next updates?
- Who is controlling the growth and direction of AI? Looking beyond our regulators to the movements of the tech world
- How can we maintain national and regional compliance in our international, digital world?
10.10 Bonus Session; Reserved For Exclusive Conference Partner
10.40 Morning Refreshment Break With Informal Networking
The Risks Of AI In Finance - Panel Discussion & Q&A
11.10 The Threat Changes Every Day: As AI Evolves, So Do The Risks To Financial Services… So What Can We Do To Predict, Anticipate & Defend Against Potential Damages?
- AI and the new cyber threats lurking in the shadows: what can we do to shine a spotlight on the potential and evolving problems and resolve issues before they happen?
- How can the business defend against sophisticated financial crime and protect customers from fraud and scams involving deepfakes, voice cloning and more?
- Risks from within? What are the potential opportunities for mismanaged AI solutions to jeopardise customer data safety, leave the business vulnerable to cyber threats – or even to make the business less functional
- What steps can we take to proactively defend the business against AI risks?
Parul Aggarwal, Operational Performance, Global Claims & Legal & Compliance, AXA XL
Carlos Martin, Executive Director, JPMorgan Chase & Co
David Bonavia, Lead Operational Risk Oversight Manager, MetroBank
Kate Marechal, Group Director Of Operational Risk & Monitoring, Shawbrook Bank
Paul Grigg, Customer & Operational Risk Director, RSA
Dr. Merlin Kuate Kamga, Director Model Risk, Fidelity International
Prab Bajwa, Senior Digital Risk Officer, State Street
Nicola Scott, Managing Director, Global Head of Technology and Cyber Compliance, JP Morgan
Garth Saunders, Former Director – Head of Market Risk & Counterparty Credit Risk, Absa Group
The Risks Of AI In Finance: AI In Financial Modelling & Trading Risks
11.40 Deep Dive: The Risks Of AI Applications In Financial Modelling & Trading
- With more and more organisations looking to AI for that competitive edge in high-frequency trading and growth stock investing – what are the potential adverse effects and exposure risks from these activities?
- How can we provide adequate oversight and internal monitoring to safeguard our own activities?
- Without clear forthcoming regulations, what impact could these activities have on the broader economy?
Financial Services Operational Resilience & AI
Value-Centred Compliance
12.00 Mitigating The Added Complexity Of AI With Robust, Agile Strategies Which Enable Critical Services Delivery & Maintain Operational Resilience
- We are aware of the threats AI can pose to operational resilience, now how can we protect the business and bake defences into our business infrastructure?
- How does AI increase the complexity of various types of risk we face in Financial Services?
- From TPRM to risk monitoring to threat scanning, leverage AI technologies applications to predict emerging threats and enhance operational resilience
Ayse Aksay, Head of Risk Governance, Operational Risk & Internal Control, AXA XL
Third-Party Risk
12.20 Scrutinise Your Supply Chain: Update Your Third-Party Risk Management Strategies To Safeguard The Business
- Explore new and evolving third party risk assessment frameworks and how new technologies can aid real-time monitoring across your supply chain
- How can you be assured that 4th and 5th parties are remaining compliant? Reviewing contract terms to enforce due diligence and ensure there is no liability
- Are your exit and contingency plans up to standard?
- From procurement to legal on ESG to AI, how can you engage all functions around the updated requirements and importance of third-party supplier screening and due diligence?
12.40 Lunch & Informal Networking For Speakers, Delegates & Partners
13.40 Afternoon Chair’s Opening Remarks
Operational Resilience: DORA Progress Discussion Ahead Of The January Deadline - Panel Discussion & Q&A
13.50 Ready For January? Is Your Operational Resilience Up To DORA Standards? What Next?
- The final fine tune? What are the final review points for your final DORA checklist?
- Global instability, cyber-attacks, AI, climate change, recessions, pandemics… what are your frameworks to develop constantly evolving and compliant operational resilience strategies in a constantly-evolving world?
- The regulators need us to meet ever-higher standers: how can you build comprehensive risk assessments into the business DNA to achieve continuity in the face of new threats and vulnerabilities?
Ayse Aksay, Head of Risk Governance, Operational Risk & Internal Control, AXA XL
Tech, Cloud & Cyber
14.10 AI, Regulatory Tech, Cloud, Mobile, Apps: Achieve Effective Risk & Compliance Strategies Which Keep Pace With Evolving Technologies & The Associated Regulatory Requirements
- As businesses and consumers require ever more advanced digital technologies, how can the risk, compliance and legal functions keep pace to ensure business-wide compliance and security?
- How can the compliance function take advantage of evolving regulatory tech and other tools to aid us in our horizon scanning, risk management and compliance enforcement activities?
- Watertight compliance enables new tech to work as well as possible for the business: ensure compliance to tangibly contribute to the bottom line
14.30 Bonus Session; Reserved For Exclusive Conference Partner
15.00 Afternoon Refreshment Break With Informal Networking
The Applications of AI Within The Compliance Function - Panel Discussion
Real-Time & Practical Strategies
15.30 Exploring & Examining Practical AI Applications To Increase Efficiencies & Support The Compliance Function
- From streamlining operations and task automation to compliance monitoring and internal auditing: how can AI be applied within the compliance function to support and improve our day-to-day activities?
- What are the best tools to support compliance activities and how can we practically integrate them into our business as usual?
- Leading by example: demonstrate and model watertight governance processes, bias removal and exemplary security to influence responsible AI usage throughout the business
Kate Marechal, Group Director Of Operational Risk & Monitoring, Shawbrook Bank
Simonti Basu, Head of Data Controls, HSBC Wholesale, HSBC
Jean Panagamuwa, Head of UK Compliance & AML, Capital One
Shona Sandhu, Deputy CCO, EMEA. UK/EU Head of Fixed Income Compliance, Citadel Securities
Generative AI- DOUBLE PERSPECTIVE
15.50 As Day-To-Day ChatGPT Usage Becomes Commonplace & Other Generative AI Tools Enter The Market, How Can We Ensure Generative AI Usage Is Closely Monitored & Controlled?
- From standard tech risks to privacy to cybersecurity and more, how can we communicate to the wider business that generative AI needs to be taken seriously
- Input: what measures can we take to monitor, track and control what types of content are input into generative AI by our employees and guarantee no sensitive information leaves the enterprise network?
- Output: do we trust what is said? Prevent hallucinations and incorrect information being used in internal processes, decision making or materials
15.50 Perspective 1
Jules Ferdinand Pagna Disso, Head Of Cyber Risk Intelligence, Insider Technology Risk & Digital Asset Risk, BNP Paribas
16.10 Perspective 2
Sanja Hukovic, Group Director, Head of Model & AI Risk Management, London Stock Exchange Group (LSEG)
16.30 Afternoon Chair’s Closing Remarks & Official Close Of Conference