RegTech is the latest big tech trend. It helps organisations to become smarter and more agile in complying with regulation and regulators to make better use of data reporting proved by industry. Key to RegTech is the intelligent use of data analytics to extract and organise information in a rapid, cost-effective and flexible way.

In this event, we’ll be canvassing three perspectives on RegTech and its application in the financial and professional services sector. We will be hearing from:

The Regulator – Nick Cook, Head of Department: Market Intelligence, Data and Analytics, Financial Conduct Authority
The User – Lisa Walker, Head of Compliance, ANZ Bank; Nicole Sandler, VP Resolution & Recovery Planning & Fintech
The Innovator – Wayne Johnson, CEO, Encompass Solutions



Nick Cook, Head of Department: Market Intelligence, Data and Analytics, Financial Conduct Authority
The Financial Conduct Authority is the conduct regulator for 56,000 financial services firms and financial markets in the UK and the prudential regulator for over 24,000 of those firms. It is their aim to make the markets work well – for individuals, for business, large and small, and for the economy as a whole. The FCA were established on 1 April 2013, taking responsibility for conduct and relevant prudential regulation from the Financial Services Authority.

Lisa Walker, Head of Compliance, ANZ Bank
ANZ began in London in 1835 as the Bank of Australasia, established under Royal Charter. Over the years ANZ grew by a series of acquisitions and mergers resulting in the incorporation of Australia and New Zealand Banking Group Limited in 1970, which moved its head office from the United Kingdom to Australia in 1976. ANZ provides a range of banking and financial products and services to over 9 million customers and employs over 50,000 people worldwide.

Nicole Sandler, VP Resolution & Recovery Planning & Fintech
Nicole Sandler is a lawyer in the Global Regulatory Policy team at Barclays. She focuses on the impact of fintech related regulation and initiatives on Barclays in the UK and globally, including advising on various sandbox and regulatory initiatives proposed by regulators such as the FCA, MAS, CFTC and Japanese FSA. Nicole engages with regulators globally on fintech matters for Barclays including chairing a meeting with the Fed and sitting on panels with the FCA. Further she represents Barclays in various regulatory forums and industry groups. For example, Nicole is a member of the FMLC Technology Scoping Group at the BoE, the BBA Digital Strategy Group and also represented Barclays at the EDCAB virtual currency and blockchain roundtables at the European Parliament.

Wayne Johnson, CEO, Encompass Corporation
In 2012, Wayne Johnson co-founded Encompass Corporation, a SaaS business driven by the belief that the best decisions are made when people understand the full picture. As CEO of Encompass Wayne has lead the creation of the company’s Know Your Customer (KYC) automation software for the banking, finance, legal and accountancy sectors. Wayne has won recognition as an entrepreneur and leader in the information industry. He has raised venture capital in the USA and won multi-million dollar grants from government.


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