The Preeminent Conference on Compliance and RegTech
COMPLY is the world’s largest RegTech and Compliance event — bringing together the most comprehensive gathering of innovators, investors, legal and compliance professionals and regulators from across the globe.
Be at COMPLY, named one of the Top RegTech Conferences in 2018, for two action-packed days of insights, education, best practices, and networking to take your compliance practice to the next level!
This education activity has been submitted to the Compliance Certification Board (CCB)® and is currently pending their review for approval of CCB CEUs.
Bestselling Author & Renowned Cybersecurity And Fraud Prevention Expert Catch Me If You Can
Mr. Abagnale’s rare blend of knowledge and expertise began more than 50 years ago when he was known as one of the world’s most famous con men. His riveting story provided the inspiration for Steven Spielberg’s 2002 film, Catch Me If You Can. For over 40 years Frank has worked with, advised, and consulted with hundreds of financial institutions, corporations and government agencies around the world. Now, Frank Abagnale is one of the world’s most respected authorities on forgery, embezzlement, and secure documents. He has conducted over 3,000 seminars on identity theft, cyber crime and fraud worldwide, and serves as an advisor to a company developing the world’s first insured authentication platform.
Announcing COMPLY2018 Speakers:
Check back often for more updates
JO ANN BAREFOOT
Barefoot Innovation Group and Cofounder of Hummingbird Regtech
Managing Director & Compliance Executive
Bank of America Merrill Lynch
General Manager, Solutions
IBM Watson Financial Services
Chief Marketing Officer
Founder & CEO
MEDICI (Formerly LTP)
FOUNDER, CEO, MANAGING PARTNER
Financial Technology Partners
Director, Emerging Regulatory Issues
Senior Vice President of Corporate Strategy
Administrative VP Head of BSA/AML/OFAC Program Management
Asst. Director, Division of Financial Practices
Federal Trade Commission
Former Massachusetts Attorney General; Partner
Foley Hoag LLP
Adtech & Publisher Solutions
President of Compliance
Chief Marketing Officer
Fenway Summer Ventures
Chief Compliance Officer
Commercial Director US
Head of Compliance
Marcus: By Goldman Sachs
VP, Global Head of Business and Legal Affairs
SVP/Enterprise Risk Management
Penns Woods Bancorp Inc.
Manager, Market Planning
LexisNexis Risk Solutions
Chief Marketing Officer
SR. EXECUTIVE VP, GENERAL COUNSEL, BOARD OF DIRECTORS
SVP, General Counsel and Secretary
American Public University System
Chief Risk Officer
Founder & CEO
CO-FOUNDER & CEO
Former Google Head of Legal Emerging Markets; Co-Founder
The Legal Pod and The Privacy Compliance Hub
Electronic Transactions Association
Director of Global Government Relations
Chief Marketing Officer
Higher Ed Growth
CEO & Founder
Become a COMPLY2018 Speaker
If you are a thought leader, innovator or expert who would like to speak at COMPLY, please fill out the request form and our search committee will be back in touch.
Compliance is the guts of the banking infrastructure. With global financial institutions now shelling out more than $100B per year on compliance and regulatory obligations, and people cost being the largest component, the need of the hour is to shift the focus on the use of technology to address this elephant in the room. Emerging RegTech solutions offer the ecosystem a triple bottom line: they free up valuable resources (both human and capital) to be used more productively; the resulting savings can be deployed for creating better experiences for end users; and the tech-enabled solutions enable other FinTech firms working with the FIs to be compliant and efficient at the same time.
- ADITYA KHURJEKARMEDICI (Formerly LTP)
Investors and their strategic acquirers have known for a while that compliance means big business. They are starting to place their bets on which RegTechs will be the winners and the also-rans. Discover what they look for when making investments, from seed stage to acquisition, and gain insights on current valuation ranges and where the money will come from in the future.
- STEVE MCLAUGHLINFinancial Technology Partners
- DANIEL KIMBregal Sagemount
- JEAN-JACQUES LOUISNasdaq
- ALEX ACREEFenway Summer Ventures
Join Vishal Ranjane of Protiviti as he and Chris Tocin from M&T Bank discuss how the Compliance department at the Bank went from battling for budget dollars for investments in compliance technology, to a more open and accepting culture where regulatory technology was viewed as an enabler. While the shift was gradual, it was sustainable, and required a mindset shift at the Bank. This discussion will leverage the M&T use case and provide actionable steps to shift company perceptions towards compliance being an intrinsic expression of organizational value.
- VISHAL RANJANEProtiviti
- CHRIS TOCINM&T Bank
Many State Attorneys General have made it clear that they plan to step up their consumer protection efforts if the current administration pulls back on enforcement. Hear what these State AGs have to say about how they plan to enforce federal and state consumer protection laws, despite changes at the White House and within regulatory agencies.
- MARTHA COAKLEYFoley Hoag LLP
Always the highlight of COMPLY, the rooftop party is the ultimate networking event on the city’s premier rooftop with 360° views of the New York City skyline. Attendees, speakers and sponsors join the party to network and make the connections that fuel their business and provide connections to fuel their future.
- Financial Technology Partners
Watch as innovative startup, and scale-up companies present their latest RegTech product offerings. These companies and their products hold promise for identifying the best solution for your businesses regulation needs.
Join us for a pre-conference workshop for a deep dive into specific regulations affecting marketers and compliance professionals across the board. Get tactical steps and a clear playbook on how to implement safeguards for these regulations into your compliance program.
Third party risks, new regulations, global expansion, new technologies and ever-changing regulatory environments are just a few of the challenges faced by CCOs. Just how are CCOs overcoming these competing demands to keep their organizations ahead of risk while staying ahead of the competition? Learn their practical approaches to the challenges and changes that new technologies are providing.
- ALEXANDRA MEGARISVenable
- BRIAN WOLDOWBank of America Merrill Lynch
- MITCH HOCHBERGMarcus: By Goldman Sachs
- PAULA TUFFINBetter Mortgage
They put the tech in RegTech but how exactly are technologies like Machine Learning, Artificial Intelligence (AI), Natural Language Processing, Predictive Analytics, and Blockchain powering the transformation of businesses today? Join these RegTech CEO’s as we explore their path to adoption within Financial Institutions and discuss which tech can help transform your risk and compliance practice.
- JOHN BYRNECorlytics
- KAYVAN ALIKHANICompliance.ai
- PAMELA CYTRONPendo Systems
In a digital world, the General Data Protection Regulation (GDPR) could be the largest compliance hurdle seen by marketers in decades when it goes into effect on May 25. GDPR applies to any entity processing the personal data of European Union (EU) citizens. It demands the implementation of significant data safeguards, and the consequences of getting it wrong are significant. Get practical advice and real-world examples from UK legal experts and Google’s former head of legal emerging markets as she discusses the key challenges, what to expect when the regulation goes into effect and the tactical approach one company took to achieve GDPR compliance.
- KARIMA NORENThe Legal Pod and The Privacy Compliance Hub
- VERONICA GONZALEZOutbrain
No industry is facing more transformation than Payments. Technology like Blockchain is poised to solve problems like privacy, security and trust but how will it be regulated? And how will it be incorporated to revolutionize industries beyond payments?
- JASON OXMANElectronic Transactions Association
- HANS LOMBARDOBlockpass
- VENKATESH BALABiz2Credit
His transformation from one of the world’s most notorious con men to cybersecurity expert has been mythologized in film and Broadway, but the takeaways he’ll share at COMPLY are the real deal. A tale captured by award-winning movie, Catch Me If You Can, Abagnale will dive into his life as a legendary impostor of the 1960s, posing as a pilot, pediatrician, stockbroker, college professor and assistant AG, all while cashing millions in forged checks. Hear Mr. Abagnale’s thrilling story and leave with a deep understanding of today’s evolving security landscape and how it can affect your business.
Engaging and serving customers digitally is spurring dramatic innovation in the lending space, but will the interest rate environment along with increasing inflation change that trajectory? Hear from senior executives at lenders and the banks that back them on how their companies are scaling consumer and business lending while reducing risk from economic conditions, regulatory obligations and competition.
- MILES REIDYQED Investors
- MARLA BLOWFS Card
- NOAH BRESLOWOnDeck
- ROBERT MARXWebBank
Contact Centers are on the front lines with your brand’s consumers. Data gathered on those interactions can provide a treasure trove of intelligence when reviewed and analyzed. Learn which data points are providing contact centers and their brands with clear signals on where risk may be emerging in relation to regulations like TCPA and expectations from the FTC and FCC.
- KEN RICHARDYtel, Inc.
- DONNA BUCELLAGuidepost Solutions
- TONY PATERNOPerformLine
Data protection is a substantial concern after recent data breaches at credit agencies, big-box retailers and even the largest driver-rider platforms. Those breaches, combined with the new GDPR regulation and upheaval at the country’s largest consumer watchdog, puts the integrity of consumer protection in question. What can enterprises, large or small, learn from these situations regarding responsibilities, governmental expectations and consumer expectations? What new business opportunities are unlocked by innovation and which business models will be put into jeopardy?
- DENISE ZHENGBusiness Roundtable
- JAMIE BROWNCA Technologies
Anti-Money Laundering (AML) and Know Your Customer (KYC) are critical initiatives for financial institutions and regulated companies. Regulators have higher expectations, making it a struggle for Financial Institutions to keep up in order to avoid penalties for non-compliance and sanctions investigations. Learn how Chief Risk Officers are using technology like RegTech to navigate and reimagine their AML and KYC programs.
- ARON CARTERPenns Woods Bancorp Inc.
- JENNIFER MCENTIRELexisNexis Risk Solutions
- PARKER CROCKFORDOnfido
Higher education has had its fair share of regulatory challenges and disruption in the past, this year is looking no different with legislation reauthorizing and reforming the Higher Education Act of 1965. Listen in for boots-on-the-ground anecdotes on how these higher education marketers and their partners have handled the balancing act of proactively managing compliance to protect their brands, while still meeting their student acquisition goals—all amidst an evolving regulatory landscape.
- JOE LASKOWSKIHigher Ed Growth
- JARROD JORDANNoodle Partners
- THOMAS BECKETTAmerican Public University System
Meet the all-stars who are leading the marketing efforts at some of the fastest growing companies today. Learn how these innovative and inspiring marketers are engaging more consumers, leveraging technology to move faster and using compliance as a competitive advantage.
- DAVID JAKUBOWSKI
- BRAD WILSONLendingTree
- DENISE KARKOSTD Ameritrade