October 17, 2017 - October 19, 2017 Grace Hotel Sydney, 77 York street, Sydney, NSW Australia

Technology solutions to effectively meet your regulatory & compliance obligations.

18th October 2017 - Day 2

Participants registration and refreshments.

Chairman’s address to the gathering.

The tendency in the industry is to assume these phenomena are recent, but in truth FinTech is at least 150 years old, and RegTech at least 40 years old. There is an enlightening story to be told here, that puts these developments into context.

  • What is the global and the historical Evolution of FinTech and RegTech?
  • What will the future look like?



  • Ross P. Buckley, King & Wood Mallesons Professor of International Finance Law University of New South Wales (UNSW) – Faculty of Law

RegTech innovation should be viewed as an opportunity to get substantial business benefits while ensuring regulatory compliance.


  • Nick Stavrou, PhD, Managing Director, Risk Framework Manager

Refreshments and Networking opportunity for participants.

  • The use of RegTech to measure conduct down to the local business unit level
  • Predict the compliance and risk behaviour of every person
  • Change and shape the behaviour to the expected standards
  • Monitor risk and compliance on a live-time basis


  • Harry Toukalas, Group Managing Partner, Blackhall and Pearl

Case study on RegTech deployment:

  • Developing the Business Case for RegTech
  • Emerging technology, Machine Learning & AI
  • Identifying the barriers to the adoption of RegTech
  • Change management and identifying compliance training needs


  • Claire Wivell Plater, Managing Director, The Fold Legal Pty Ltd

Lunch and Networking opportunity for participants.

How the RBA, retail banks and FinTechs such as Tyro can work together to open up KYC and how this could help to boost competition and innovation in the financial services sector.


  • Jost Stollmann, Executive Director, Tyro Payments
  • Helping trustees better understand and manage their risks
  • Examples of new technologies being used to manage compliance and governance in financial services
  • Some emerging start-ups


  • Stephen Huppert, Head of Product Innovation, Trustee Partners

Refreshments and Networking opportunity for participants.

  • Wealth management divisions in the banks, life companies and AFSLs are under intense scrutiny for product cross-sell and switching campaigns, delivered under both personal financial advice and general advice to consumers.
  • With Parliamentary enquiries and ASIC test cases in court regularly hitting the front pages of the paper, the cost and efforts of compliance, monitoring and surveillance of advice providers and practices, have never been more critical.
  • With Life Insurance and professional standards legislation now adding to the FOFA reforms, the spotlight on Best Interest Duty compliance processes intensifies.
  • The efficiencies enabled by RegTech surveillance and monitoring intelligence can assist regulators, financial services institutions and professional bodies to improve oversight and outcomes


  • Samantha Clarke, Director, Advice RegTech
  • Managing identity on the blockchain
  • New approach to KYC – a better consumer experience at lower cost
  • AML regulation for digital currencies


  • Nick Giurietto, CEO & Managing Director, Australian Digital Commerce Association
  • Roles and responsibilities
  • Change management
  • Stakeholder engagement
  • Needs analysis and training
  • Values and Ethics
  • Culture & Behaviour


  • Samantha Clarke, Director & Co-Founder, Advice RegTech
  • Clare Payne, Director, The Banking and Finance Oath

Closing remarks from the Chair and vote of thanks by the Chairman.

Attendee Information


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Upcoming Events

  1. Superannuation Fund Back Office Innovations Forum

    September 13 - September 14
  2. Superannuation Fund Risk Forum

    September 18 - September 19
  3. Post-Retirement Australia 2017 Conference

    October 9 - October 10
  4. RegTech 2017

    October 17 @ 8:00 am - October 19 @ 5:00 pm
  5. iPARM Australia 2017

    October 23 - October 25

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