Scaling Compliance in a Changing Regulatory Environment
Join senior compliance, risk and innovation leaders, HSBC, Actuate Law and Sedric for an exclusive breakfast forum at the HSBC headquarters in New York.
In this intimate executive breakfast, we'll explore how today's most forward-thinking financial firms are reimagining compliance.
Morning Program
9:00am - 9:45am — Arrival: Mingling & Light Breakfast
9:45am - 10:30am — Interactive panel discussion
10:30am - 11:00am — Mingling and wrap up
Discussion Topics:
- How compliance and risk leaders are adapting control models to high-volume, multi-channel communications
Observed patterns across banks, fintechs, and neobanks. - Practical implications of using AI within regulated compliance frameworks
Where AI improves detection and control—and where it increases governance and supervisory risk. - The shift from retrospective review to in-process risk mitigation
Why real-time controls are emerging as a requirement, not an optimization. - Operating model considerations for aligning policy, technology, and frontline execution
Common failure points and design trade-offs as regulatory complexity increases.
Speaker Bios
Lloyd Plenty
Lloyd Plenty is Chief Risk Officer for HSBC Bank USA, responsible for all aspects of risk management and regulatory compliance across the firm’s U.S. operations. He joined HSBC in 2022 after serving as Americas Chief Risk Officer for the Corporate & Institutional Bank and Asset Management at BNP Paribas, where he led risk frameworks across credit, counterparty, market, and operational domains. Lloyd holds a Bachelor of Science in Monetary Economics from the London School of Economics and is known for shaping risk appetite and control infrastructure within complex global banking environments.
Dara Tarkowski
Dara Tarkowski is Managing Partner at Actuate Law and Chief Strategy Officer of quointec, the firm’s RegTech subsidiary, where she leads on regulatory advocacy, compliance strategy, and technology integration for financial services clients. She represents banks, non-bank lenders, fintechs, and creditors in consumer finance litigation and regulatory matters, and is a recognized thought leader, published author, and podcast host on topics at the intersection of law, technology, and regulation. Dara has been named among the Most Influential Women in Fintech and frequently speaks on compliance, innovation, and legal technology both domestically and internationally.
Nir Laznik
Nir Laznik is Co-Founder and CEO of Sedric, an AI-powered compliance platform used by banks, fintechs, and regulated financial services organizations to control risk across customer communications and marketing. He works directly with Chief Compliance Officers, Chief Risk Officers, and regulatory teams to operationalize complex regulatory requirements across high-volume environments, including collections, marketing, and third-party oversight. Through this work, Nir has deep, first-hand exposure to how regulators interpret risk in practice—and how compliance programs break down when policy, technology, and operations are misaligned.