Regs & Eggs New York - November 2023

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Exploring the Future of AI in Market Surveillance

The regulatory burden for detecting and preventing fraudulent behavior and market abuse has been evolving rapidly over the past decade. Yet, many financial services firms are still leveraging antiquated and unaligned surveillance systems. When you combine this with the fact that, in recent years, many compliance teams have been downsized and asked to do more with less, the task at hand becomes even more challenging.

The introduction of integrated trade and communications surveillance solutions has streamlined the oversight of compliance requirements for many firms, but expectations of regulators will continue to increase in line with the advancement of regulatory technology. As a result, market participants will need to commit to investing in cutting-edge and future-proof technology in order to meet their compliance requirements.

SteelEye's flagship event, Regs & Eggs™ is coming to New York City on November 2 and will look at the role of artificial intelligence (AI) and its most prominent subsets like machine learning (ML), in improving market surveillance, and the key considerations for driving a more innovative and futureproofed compliance agenda.

Why attend Regs & Eggs 2023

Regulatory pressures continue to increase in the financial services landscape. With this in mind, this event will focus on the present and future role of AI as a tool for compliance and market surveillance. We have an exciting line-up of speakers, highlighted by a fireside chat with deep tech expert and artificial intelligence thought leader Scott Amyx.

Agenda

8:00:
Arrival & buffet breakfast

8:50:
Welcome address from SteelEye

9:00 - 10:45
Fireside Chat: Scott Amyx

A fireside chat with Scott, a deep tech venture capitalist, around today's most disruptive technology: artificial intelligence. Scott will cover where he thinks AI (and its applications such as ML) is headed next and how organizations can harness their potential while mitigating concerns of human displacement.
Learn more >
Panel: The Future of AI in Market Surveillance

Our panel will explore the pragmatic application of AI in the compliance space that is already taking place today, and provide the audience with use cases on how they are currently leveraging AI in their day-to-day work. This discussion will also provide deep penetrating insights into the benefits, limitations, and optimal use of AI and its subsets like ML in the context of market surveillance and regulatory compliance. Participants include:
- Kelly Koscuiszka, Partner, Schulte Roth & Zabel LLP (Moderator)
- Vall Herard, CEO & Founder, Saifr
- Prem Melville, Head of Machine Learning, Millennium Management
- Niv Bodor, Senior Manager, Deloitte Risk Advisory
- Sepehr Irandoost, Head of Global Surveillance Effectiveness and Efficiency, Bank of America
Learn more >

Details

Date:
Thursday, 2 November 2023

Time:
8:00 - 11:00 AM

Location:
New York City, Midtown

(Location to be shared after RSVPing)

Don't miss the chance to join this
one of a kind breakfast in New York City

Fireside Chat: Scott Amyx

When ChatGPT was rolled out in late 2022, it pushed phrases like artificial intelligence and machine learning to the forefront. What had long been considered "tech" topics quickly became "household" topics, and a rush to quickly understand this disruptive technological advancement ensued. Naturally, these conversations made their way to the financial services industry, where artificial intelligence has the potential to help firms in their ongoing struggle to effectively and efficiently monitor communications and trade surveillance in a revolutionary way.

As a deep tech venture capitalist and artificial intelligence thought leader, nobody is better suited to discuss AI's past, present, and future journey than Scott Amyx. Scott will be speaking about AI's progression to where it is at today. He will also cover where he thinks AI and its applications like ML are headed next, and how organizations can harness their potential while mitigating concerns of human displacement.

About Scott Amyx:

Scott Amyx is a Managing Partner at Astor Perkins, a deep tech and sustainability VC that backs mavericks solving some of the hardest problems facing humanity on Earth.

Scott is also a Forbes New York Business Council Member, Singularity University/ Smart City Accelerator mentor and startup board member, and SXSW Pitch judge.

He is a national Sloan Fellow/Woodrow Wilson Fellow and has spoken at TEDx multiple times. Scott is a global thought leader on breakthrough innovation, voted top global innovation keynote speaker, and author on smart cities. He has been nominated to the World Economic Forum as a committee member for the Future of the Internet. Scott has been featured in New York Times, TIME, Forbes, The Washington Post, WIRED, and many other publications.

Panel: The Role of AI in Market Surveillance

This panel will explore how firms are already leveraging AI to improve market surveillance today. Panelists will share insights on where they are on their data and AI journey, along with lessons learned up to this point and best practices. It will also look at the barriers that could prevent innovation in this space and what the regulatory guidance says about the use of AI in surveillance.

Kelly Koscuiszka (Moderator)

Partner, Schulte Roth & Zabel LLP

Kelly Koscuiszka serves as co-chair of the Investment Management Regulatory & Compliance Group, where she advises private funds on regulatory and compliance matters, particularly the Investment Advisers Act of 1940. Kelly supports clients undergoing SEC examinations and specializes in the intersection of regulation and emerging technologies, including artificial intelligence, alternative data, web scraping and electronic communications.

Vall Herard

Founder & CEO, Saifr

Vall Herard has a mastery of emerging technologies like AI, machine learning, blockchain, and micro-services. He earned a BA in Mathematical Economics/Econometrics and an MS in Computational Finance. Vall has extensive experience in financial services and FinTech holding positions at Fidelity Investments Inc., BNP Paribas S.A., The Bank of New York Mellon Corporation, UBS Investment Bank, NumeriX, Renaissance Risk Management Labs, Barrie + Hibbert Limited, and Misys (Finastra Limited).

Niv Bodor

Senior Manager of Risk Advisory, Deloitte

Niv Bodor leads Deloitte advisory’s market offering for Conduct, Supervision and Surveillance for financial services firms and has more than 20 years of experience in designing and building compliance and surveillance solutions for global banks, broker dealers, and asset managers and in assisting with surveillance remediation and program enhancement.

Sepehr Irandoost

Head of Global Surveillance Effectiveness & Efficiency, Bank of America

Sepehr Irandoost started as an integration specialist working in a small startup on a cutting edge Trade Surveillance software named SMARTS, which later, after the acquisition of Nasdaq, became Nasdaq Trade Surveillance. Throughout the years, Sepehr has utilized his IT expertise and management skills to lead the development, integration, and rollout of the application for more than hundreds of brokers, hedge fund, and exchanges expanding SMARTS revenue and footprint by an order of magnitude. In 2018 Sepehr moved to New York as the Head of Risk and Surveillance for Nasdaq CS. Later in 2021, he moved to Bank of America as the Head of Global Surveillance Effectiveness and Efficiency.

Prem Melville

Head of Machine Learning, Millennium Management

Prem Melville is a tech entrepreneur and AI leader, with a Ph.D. in Machine Learning, and over 50 peer-reviewed publications, 7 patents, and 10 international awards for his contributions to the fields of Machine Learning, Data Mining, and Natural Language Processing. Currently, he serves as the Head of Machine Learning at one of the world's largest alternative asset management firms where he creates data-driven products, including those for compliance and regulatory oversight. He founded and was the CEO of Social Alpha, a pioneer in social analytics solutions for financial markets.

ABOUT REGS & EGGS

We launched our Regs & Eggs event series in 2017 - inviting industry experts to share their insights and views on the latest regulatory topics over breakfast (eggs to be specific). Our most recent event was hosted at London's House of Commons in May 2023. The breakfast featured "Rogue Trader" Nick Leeson as a keynote guest and brought together expert speakers from the FCA, William Blair, NatWest, Fidelity International Strategic Ventures, and more. These events aim to share knowledge and facilitate discussions with industry leaders about the key factors that impact financial services compliance.

By popular demand, SteelEye has brought its flagship event to New York City, where North American compliance professionals will have a chance to participate in this highly regarded gathering. Attendees will gain insights on the financial services industry's hottest topics: artificial intelligence and machine learning. They will also hear from their peers about the role they expect AI will play in the market surveillance space going forward. The New York installment of this event will include breakfast in Midtown Manhattan. Register your interest above to learn what prestigious venue will be hosting our event.