Fintech - The Evolving Financial Marketplace


The SEC formed the Distributed Ledger Technology Working Group to build expertise; identify emerging risk areas, and coordinate efforts among the SEC’s divisions and offices. The approximately 75 members of the working group also assist in coordination with federal, state, and local law enforcement and regulatory partners and liaising with industry.

SEC Fintech Forum

The SEC hosted a forum to discuss innovation in the financial services industry Nov. 14, 2016, at SEC headquarters in Washington, D.C.

Forum panels discussed issues such as blockchain technology, automated investment advice or robo-advisers, online marketplace lending and crowdfunding, and how they may impact investors.

Webcast Archives

Fintech Forum Webcast Archive Part 1
Fintech Forum Webcast Archive Part 2
Fintech Forum Transcript

Sunshine Act Notice
Press Release Announcing Fintech Forum
Press Release Announcing Fintech Forum Agenda and Panelists

Fintech Forum Agenda (Panelists as scheduled to appear)

  • 7:45 a.m. ET | Doors Open

  • [+]9:00-9:15 a.m. ET | Opening Remarks

    Opening Remarks by Chair White, followed by Commissioner Stein, and Commissioner Piwowar

  • [+]9:15-10:30 a.m. ET | Panel 1 – Impact of Recent Innovation in Investment Advisory Services

    Moderator: Kristin Snyder, Co-Head of the Investment Advisor/Investment Company program in
    the SEC Office of Compliance Inspections and Examinations


    • Ben Alden, General Counsel of Betterment
    • Bo Lu, Co-Founder and CEO of Future Advisor at Blackrock
    • Mark Goines, Vice Chairman of Personal Capital
    • Neesha Hathi, Executive Vice President for Investor Services Platforms,
      Strategy and Client Experience at Charles Schwab
    • Jim Allen, Head of Capital Markets Policy Group, CFA Institute
  • 10:30-10:45 a.m. ET | Break

  • [+]10:45 a.m.-12:15 p.m. ET | Panel 2 – Impact of Recent Innovation on Trading, Settlement, and Clearance Activities

    Moderator: Valerie Szczepanik, Head of the SEC Distributed Ledger Technology Working Group;
    Assistant Director, SEC Division of Enforcement


    • Brad Peterson, Executive Vice President and
      Chief Information Officer/Chief Technology Officer at Nasdaq
    • Chris Church, Chief Business Development Officer, Digital Asset Holdings
    • Mark Wetjen, Head of Global Public Policy at DTCC
    • Professor Emin Gun Sirer, Cornell University
    • Grainne McNamara, Principal in the Capital Markets team at PricewaterhouseCoopers
  • 12:15-1:30 p.m. ET | Lunch Break

  • [+]1:30-3:00 p.m. ET | Panel 3 – Impact of Recent Innovation in Capital Formation

    Moderator: Sebastian Gomez Abero, Head of the Office of Small Business Policy,
    SEC Division of Corporation Finance


    • Matt Burton, CEO, co-founder of Orchard Platform
    • Conor French, General Counsel of Funding Circle and co-founder of
      the Marketplace Lending Association
    • Javier Saade, Managing Director at Fenway Summer Ventures
    • Sara Hanks, Co-founder and CEO of CrowdCheck
    • Michael Pieciak, Commissioner of the Vermont Department of Financial Regulation and
      Chair of NASAA Corporate Finance Section
    • Karen Mills, Senior Fellow at Harvard Business School
    • Ram Ahluwalia, CEO and Co-Founder of PeerIQ
  • 3:00-3:15 p.m. ET | Break

  • [+]3:15-4:30 p.m. ET | Panel 4 – Investor Protection in the Fintech Era

    Moderator: Marc Wyatt, Director of SEC Office of Compliance Inspections and Examinations


    • Travis Schwab, CEO of Eventus Systems
    • John Walsh, Partner at Sutherland Asbill & Brennan LLP
    • Nikhil Lele, Principal in the Financial Services Office at Ernst and Young
    • Rick Fleming, SEC Investor Advocate
  • 4:30 p.m. ET | Fintech Forum concludes


Starting May 16, 2016, companies were able to use crowdfunding to offer and sell securities to the investing public.

Automated Investment Tools/

On a mobile device or a desktop computer, investors can access a broad range of automated investment tools. With ease-of-use also comes risk.

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