SEC announces panelists, agenda for Fintech Forum

United States federal government agency the Securities and Exchange Commission (SEC) announced in a press release sent to CoinReport the panelists and agenda for its Nov. 14 forum to discuss financial technology (fintech) innovation in the financial services industry.

Announced in September, the Fintech Forum will start at 9 am ET. It will have four panels.

1. Panel One: Participants on this panel will discuss the influence of latest innovation in investment advisory services.
2. Panel Two: This panel will discuss the effect of latest innovation on clearance, settlements and trading activities.
3. Panel Three: The impact of latest innovation in capital formation will come under discussion by participants on this panel.
4. Panel Four: Participants on this panel will discuss investor protection in the fintech era.

Held at the SEC’s headquarters in Washington, D.C., the forum is open to the public on a first-come, first-served basis. The SEC advises guests to bring photo identification with them and encourages them to time their arrivals with the understanding that they will be screened by security before entering the forum. Although the event will start at 9 am, doors will open at 7:45 am ET. Registration is not required to attend the forum.

A live webcast will be available through the Fintech Spotlight page of the SEC for members of the public interested in the forum, but unable to attend in-person. The webcast can be viewed later also, as it will be archived.

Agenda and Panelists

(All times Eastern, Panelists as scheduled to appear)

7:45 a.m.        Doors open

9 a.m.              Opening Remarks by Chair White, Commissioner Stein and Commissioner Piwowar

9:15 a.m.        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
• Jim Allen, Head of Capital Markets Policy Group, CFA Institute

10:30 a.m.      Break

10:45 a.m.      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 p.m.      Lunch Break

1:30 p.m.        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 and 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 Chief of the NASAA Corporate Finance Section
• Karen Mills, Senior Fellow at Harvard Business School
• Ram Ahluwalia, CEO and Co-Founder of PeerIQ

3 p.m.              Break

3:15 p.m.        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 & Young
• Rick Fleming, SEC Investor Advocate

4:30 p.m.        Fintech Forum concludes

Image credit – Public domain image