The Securities and Exchange Commission has announced the agenda and panelists for a Nov. 14 forum to discuss FinTech innovation in the financial services industry.

The forum is designed to foster greater collaboration and understanding among regulators, entrepreneurs and industry experts into FinTech innovation and evaluate how the current regulatory environment can most effectively address these new technologies.

“The proliferation of FinTech innovation has the potential to transform virtually every aspect of our nation’s financial markets” an announcement of the forum says. Topics will include blockchain technology, automated investment advice/robo-advisors, online marketplace lending, and crowdfunding.

The forum will begin at 9 a.m. ET and be divided into four panels. Participants on the first panel will discuss the impact of recent innovation in investment advisory services.

The second panel (10:45 a.m.) will discuss recent innovations in trading, settlements, and clearance activities. Participants on the third panel (1:30 p.m.) will discuss recent innovations in capital formation. The final panel will discuss “investor protection in the fintech era.”

The forum will be held at the SEC’s headquarters in Washington, D.C., and is open to the public on a first-come, first-served basis. No registration is required to attend the event. A live webcast of the event will be available through the SEC’s FinTech Spotlight page.

Among the panelists scheduled to appear: Kristin Snyder of the SEC’s 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; Jim Allen, head of the CFA Institute’s Capital Markets Policy Group; Brad Peterson, executive vice president, chief Information officer, and 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 PwC.

Speaking on the third panel will be: Sebastian Gomez Abero, head of the Office of Small Business Policy for the SEC’s Division of Corporation Finance; 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; and Ram Ahluwalia, CEO and Co-Founder of PeerIQ.

The final panel will include: Travis Schwab, CEO of Eventus Systems; John Walsh, partner at Sutherland Asbill & Brennan; Nikhil Lele, principal in the financial services office at Ernst & Young; and Rick Fleming, the SEC’s Investor Advocate.

 

 

 

 

Topics