SEC Publishes Agenda for Fintech Forum on November 14th

FIntech at the SECThe Securities and Exchange Commission has published the agenda for its first Fintech forum that is scheduled to take place on November 14th at SEC HQ in Wshington, DC.The forum is open to the public and begins at 9AM. The SEC will also be live-streaming the proceedings so you may watch it anywhere.

The gathering will be divided into four panels. Participants on the first panel will discuss the impact of recent innovation in investment advisory services. The second panel will discuss the impact of recent innovation on trading, settlements, and clearance activities. Participants on the third panel will discuss the impact of recent innovation in capital formation. The final panel will discuss investor protection in the Fintech era.  The SEC is one of many federal agencies that has regualtory oversight on financial firms and thus impacts the evolving Fintech market.

Recently many governments have announced policy initiatives designed to lessen regulatory burdens and encourage Fintech innovation.  The US has been slow to move in this direction due to the cumbersome regulatory structure and ill-defined leadership by policy makers.

The agenda is published below.

Agenda and Panelists

(All times Eastern, Panelists as scheduled to appear)

Mary Jo White SEC October 30 20157:45 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


  • 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


  • 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

Matt Burton of Orchard LendTech Angels LendLabPanelists:

  • 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


  • 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

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