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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
Scott Allen, Director – Model Risk, Fidelity Internationa

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


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