DID YOU KNOW
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.
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
Panelists
- 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
Panelists
- 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
Panelists
- 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
Panelists
- 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
Crowdfunding
Starting May 16, 2016, companies were able to use crowdfunding to offer and sell securities to the investing public.
Blockchain/Distributed Ledger
On July 25, the SEC issued an investigative report cautioning market participants that ICOs may be subject to federal securities laws.
Automated Investment Tools/
Robo-Advisers
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.
Email Updates
Signup for news about this topic.
