Fintech Conference

Date

June 20 - June 21, 2018

Location

New York, NY

Overview

Fintech continues to drive the transformation of the securities industry: AI and machine learning are giving firms new insights, blockchain projects are moving closer to production, and robotics are pushing the boundaries of industry operations.

As this new technology moves out of the lab and into the heart of the securities industry, what risk management, compliance, and oversight needs to be in place? How do existing regulatory frameworks accommodate transformative technologies?

SIFMA’s Fintech Conference, June 20-21 in NYC, will bring together innovators, industry leaders and senior policymakers to discuss these developments and more.

Join the conversation on Twitter at #SIFMAFintech

Program

12:00pm – 6:20pm

Registration Desk Hours

12:00pm – 2:00pm

Lunch with Our Diamond Sponsors

Session 1: Applying The New to Regulatory Change Management

Come and see the new technologies being applied to the regulatory change process to drive operational efficiency and enhanced control as financial…

Session 1: Applying The New to Regulatory Change Management

Come and see the new technologies being applied to the regulatory change process to drive operational efficiency and enhanced control as financial institutions continue to develop a Compliance function fit for the digital age.

Speaker: Ben Shorten

Session 2: Blockchain Solution for Consolidated Audit Trail – Customer and Trade Data Reconciliation and Regulatory Submission for CAT

This  demonstration uses blockchain as an interface to provide shared common access for broker-dealers with specific privileges to a single secure source of data. The different actors can cross-check data with counterparties flawlessly, removing the need for data reconciliation prior to submitting trade order and reference information to the regulators.

Speaker: Venetia Woo

Session 3: Introduction to Accenture Analytics Chatbot that Communicates with Users Through Messaging Apps, Chat Windows or Voice Using Natural Language

The Analytics Bot takes on the work of analyzing and interpreting large amounts of data to answer business questions based on related transaction, customer and other enterprise data to support decision making. The solution can also serve multiple functions within the organization to help firms prevent cost leakage, save on unwanted expenses related to their resources efforts, increase team productivity and improve decision making and performance over a period of time.

Speaker: Aron Elston

Participants

Ben Shorten, Venetia Woo, Aron Elston

Speakers

Ben Shorten

Compliance Transformation Lead, North America

Accenture

Ben Shorten’s Biography

Venetia Woo

North American Regulatory Strategy Lead

Accenture

Venetia Woo’s Biography

Aron Elston

US Lead for Regulatory & Compliance Analytics

Accenture

Aron Elston’s Biography

The AI Force Awakens: What are the Achilles Heel and Real Value of AI The Broadridge hosted fireside chat on Artificial Intelligence features a Q&A discussion on the impact of…

The AI Force Awakens: What are the Achilles Heel and Real Value of AI The Broadridge hosted fireside chat on Artificial Intelligence features a Q&A discussion on the impact of AI in the financial services industry, the Achilles Heel to deploying AI, and the real value of AI across a network of industry participants. Come learn about the results of the AI sentiment survey Broadridge did and find out which movie resembles the future of AI.

Participants

Michael Alexander, Marc Zutty

Speakers

Michael Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael Alexander’s Biography

Marc Zutty

Vice President, Strategy and Business Development

Broadridge Financial Solutions Inc.

Marc Zutty’s Biography

Blockchain Consortium Governance and Operating Model Blockchain technology has moved from pilot/ proof-of-concept phase to real use cases. Many early adopters have formed consortium and come under a network to…

Blockchain Consortium Governance and Operating Model Blockchain technology has moved from pilot/ proof-of-concept phase to real use cases. Many early adopters have formed consortium and come under a network to leverage blockchain among member participants. They have overcome huge hurdles, formed new legal structures and mitigated risks to launch such networks. However, in order to truly scale the network and derive intended benefits the governance and operating model needs to be flushed out. In this session, you’ll hear how IBM is working with such consortium to help institute a governance and operating model to better facilitate interaction among member participants of the network.

Participants

Shyam Nagarajan

Speaker

Shyam Nagarajan

Director of Global Blockchain Sales

IBM

Shyam Nagarajan’s Biography

2:25pm – 2:30pm

Participants

Randy Snook

Speaker

Randy Snook

Executive Vice President, Business Policies & Practices

SIFMA

Randy Snook’s Biography

2:30pm – 2:55pm

Participants

Beth Knickerbocker

Speaker

2:55pm – 4:15pm

This session will explore how market participants are using Distributed Ledger Technology (DLT) to advance innovation in the securities industry, and will examine the current state of DLT implementation. Hear…

This session will explore how market participants are using Distributed Ledger Technology (DLT) to advance innovation in the securities industry, and will examine the current state of DLT implementation. Hear from firms that are moving their DLT projects from the proof-of-concept phase into production, as well as those planning to make the transition in the near future. This interactive session will include live demos.

Participants

Horacio Barakat, Ron Papanek

Speakers

Horacio Barakat

Vice President of Corporate Strategy

Broadridge Financial Solutions Inc.

Horacio Barakat’s Biography

Ron Papanek

Managing Director

Symbiont

Ron Papanek’s Biography

What they are and what they mean for the Securities Industry.

What they are and what they mean for the Securities Industry.

Participants

Charles M. Post

Speaker

Charles M. Post

Managing Counsel & Director

BNY Mellon

Charles M. Post’s Biography

Participants

Michael Alexander, John Evans, Richard B. Levin, Ron Papanek, Charles M. Post

Moderator

Michael Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael Alexander’s Biography

Panelists

John Evans

Senior Investment Fintech Strategist, Investment Management Group

Vanguard

John Evans’s Biography

Richard B. Levin

Chair of the Financial Services Technology (FinTech) and Regulation Practice

Polsinelli PC

Richard B. Levin’s Biography

Ron Papanek

Managing Director

Symbiont

Ron Papanek’s Biography

Charles M. Post

Managing Counsel & Director

BNY Mellon

Charles M. Post’s Biography

4:15pm – 4:30pm

Sponsored by Polsinelli LLC

Sponsored by Polsinelli LLC

4:30pm – 5:20pm

What will the continuing adoption of fintech and future advances in analytics and technology mean for the securities industry? How will the role of securities firms evolve and how will…

What will the continuing adoption of fintech and future advances in analytics and technology mean for the securities industry? How will the role of securities firms evolve and how will it affect the workforce of the future?

Participants

Sadia Halim, Amit Gupta, Brian Lincoln, Vijay Mayadas, Grainne McNamara

Moderator

Sadia Halim

Managing Director

BNP Paribas

Sadia Halim’s Biography

Panelists

Amit Gupta

Managing Director, Capital Markets

Accenture

Amit Gupta’s Biography

Brian Lincoln

Wealth Management Solutions Lead, Financial Markets

IBM

Brian Lincoln’s Biography

Vijay Mayadas

President, Global Fixed Income and Analytics

Broadridge Financial Solutions, Inc.

Vijay Mayadas’s Biography

Grainne McNamara

Principal, Financial Services & Banking and Capital Markets

PwC

Grainne McNamara’s Biography

5:20pm – 6:20pm

Networking Reception

8:00am – 1:15pm

Registration Desk Hours

8:00am – 9:00am

Breakfast with Our Diamond Sponsors
Session 1: Applying The New to Regulatory Change Management

Come and see the new technologies being applied to the regulatory change process to drive operational efficiency and enhanced control as financial…

Session 1: Applying The New to Regulatory Change Management

Come and see the new technologies being applied to the regulatory change process to drive operational efficiency and enhanced control as financial institutions continue to develop a Compliance function fit for the digital age.

Speaker: Ben Shorten

Session 2: Blockchain Solution for Consolidated Audit Trail – Customer and Trade Data Reconciliation and Regulatory Submission for CAT

This  demonstration uses blockchain as an interface to provide shared common access for broker-dealers with specific privileges to a single secure source of data. The different actors can cross-check data with counterparties flawlessly, removing the need for data reconciliation prior to submitting trade order and reference information to the regulators.

Speaker: Venetia Woo

Session 3: Introduction to Accenture Analytics Chatbot that Communicates with Users Through Messaging Apps, Chat Windows or Voice Using Natural Language

The Analytics Bot takes on the work of analyzing and interpreting large amounts of data to answer business questions based on related transaction, customer and other enterprise data to support decision making. The solution can also serve multiple functions within the organization to help firms prevent cost leakage, save on unwanted expenses related to their resources efforts, increase team productivity and improve decision making and performance over a period of time.

Speaker: Aron Elston

Participants

Ben Shorten, Venetia Woo, Aron Elston

Speakers

Ben Shorten

Compliance Transformation Lead, North America

Accenture

Ben Shorten’s Biography

Venetia Woo

North American Regulatory Strategy Lead

Accenture

Venetia Woo’s Biography

Aron Elston

US Lead for Regulatory & Compliance Analytics

Accenture

Aron Elston’s Biography

Blockchain Demo Deep Dive Broadridge is creating a new bilateral repo environment using Distributed Ledger Technology to facilitate seamless execution of repo trading and more effective use of collateral. This…

Blockchain Demo Deep Dive Broadridge is creating a new bilateral repo environment using Distributed Ledger Technology to facilitate seamless execution of repo trading and more effective use of collateral. This blockchain-enabled solution automates end-to-end processes, eliminating fails, improving efficiency and reducing counterparty risk. Come join us over breakfast to get a deep dive of the demo and a chance to speak with our technologists.

Participants

Horacio Barakat, John Garahan, Hrishikesh Nashikkar

Speakers

Horacio Barakat

Vice President of Corporate Strategy

Broadridge Financial Solutions Inc.

Horacio Barakat’s Biography

Transform Your Risk and Compliance Programs with Cognitive Solutions and RegTech This session will describe how RegTech is transforming the way compliance departments operate, allowing smaller teams to focus on…

Transform Your Risk and Compliance Programs with Cognitive Solutions and RegTech This session will describe how RegTech is transforming the way compliance departments operate, allowing smaller teams to focus on higher-value activities; shifting them from information gatherers to information analyzers, enabled by augmented decision-making made possible through cognitive technologies. Learn how financial institutions can apply cognitive capabilities to meet ever-changing regulatory expectations and radically reduce costs.

Participants

Judith Pinto

Speaker

9:10am – 9:15am

Participants

Thomas F. Price

Speaker

Thomas F. Price

Managing Director, Technology, Operations, and Business Continuity

SIFMA

Thomas F. Price’s Biography

9:15am – 9:35am

Since the 2011, the "AI Spring" has emerged and evolved rapidly. We've seen advances in underlying analytic technologies, practices and the application of AI to solving for a wide range…

Since the 2011, the "AI Spring" has emerged and evolved rapidly. We've seen advances in underlying analytic technologies, practices and the application of AI to solving for a wide range of problems. However, the AI industry is still in its infancy -- both in terms of the products and technologies on the market, but also in terms of our understanding of its full utility. One of the key things that we're just beginning to fully grasp is the relationship between people and AI technology -- how the one is not replaced by the other, but rather by how AI augments and extends human intelligence. In this talk I will outline the evolutionary pressures that are driving further advances in AI technology, and more importantly, the evolving role of AI in our lives.

Participants

Rob High

Speaker

Rob High

IBM Fellow, Vice President and Chief Technology Officer

IBM Watson

Rob High’s Biography

9:35am – 10:30am

This session will present the big-picture opportunities that artificial intelligence technology presents. Participants will view demos of examples of real-world application and hear how market participants are operationalizing AI at…

This session will present the big-picture opportunities that artificial intelligence technology presents. Participants will view demos of examples of real-world application and hear how market participants are operationalizing AI at their firms.

Explore the technology of natural language generation (NLG) and see a demo of how it can be applied to enrich interactions with customers.

Explore the technology of natural language generation (NLG) and see a demo of how it can be applied to enrich interactions with customers.

Participants

Riyaz Nakhooda

Speaker

Riyaz Nakhooda

Head of Market Strategy

Arria NLG

Riyaz Nakhooda’s Biography

Explore predictive analytics and see a demo of how it can used to transform analysis of news and market events.

Explore predictive analytics and see a demo of how it can used to transform analysis of news and market events.

Participants

Kumesh Aroomoogan

Speaker

Kumesh Aroomoogan

Co-founder and CEO

Accern

Kumesh Aroomoogan’s Biography

Explore how the Innovation lab approached a concrete AI use case: streamlining the validation of scanned documents, from the identification, exploration and learning to fast prototyping towards a solution.

Explore how the Innovation lab approached a concrete AI use case: streamlining the validation of scanned documents, from the identification, exploration and learning to fast prototyping towards a solution.

Participants

Martin Caupin

Speaker

Martin Caupin

Head of Innovation – Analytics Lab

BNP Paribas

Martin Caupin’s Biography

Participants

Akhilesh Tripathi, Martin Caupin, Rob Stanich, Joseph Voyles

Moderator

Akhilesh Tripathi

Vice President and Head of Global Sales for Software Products & Platforms

Tata Consultancy Services

Akhilesh Tripathi’s Biography

Panelists

Martin Caupin

Head of Innovation – Analytics Lab

BNP Paribas

Martin Caupin’s Biography

Rob Stanich

Offering Manager for Financial Markets and Banking

IBM Watson Financial Services

Rob Stanich’s Biography

Joseph Voyles

Director

PwC

Joseph Voyles’s Biography

10:30am – 10:50am

Networking Break

10:50am – 11:45am

This session will describe how to develop a risk oversight and control framework around applications of emerging technologies such as the cloud and robotics process automation. Panelists will also discuss…

This session will describe how to develop a risk oversight and control framework around applications of emerging technologies such as the cloud and robotics process automation. Panelists will also discuss the issues related to "Shadow Infrastructure" and regulatory challenges associated with concentrated tech providers. Participants will receive insight into how firms can effectively integrate start-ups and their technology into large, highly regulated organizations - including how to manage the impact of big data.

Participants

Christopher Killian, Jennifer Klass, Stefan Dicker, Gary Nichols

Moderator

Christopher Killian

Managing Director, Securitization

SIFMA

Christopher Killian’s Biography

Panelists

Stefan Dicker

Vice President, Rise FinTech Platform Lead

Barclays

Stefan Dicker’s Biography

Gary Nichols

Managing Director, Security Design & Engineering, Schwab Cybersecurity Services

Charles Schwab

Gary Nichols’s Biography

11:45am – 12:45pm

How can American regulation and supervision support fintech? Panelists will discuss SIFMA’s policy recommendations and response to the U.S. Department of the Treasury’s review of the financial regulatory framework, explore…

How can American regulation and supervision support fintech? Panelists will discuss SIFMA’s policy recommendations and response to the U.S. Department of the Treasury’s review of the financial regulatory framework, explore what works internationally, and debate regulatory considerations for overseeing innovation in the capital markets.

Participants

Jai Massari, Elijah Alper, Michael Herskovitz, Jessica Renier, Andres Wolberg-Stok

Moderator

Panelists

Elijah Alper

Assistant General Counsel

Capital One

Elijah Alper’s Biography

Michael Herskovitz

Senior Vice President & Partner, Co-Head Global Operations and Technology

AB

Michael Herskovitz’s Biography

Andres Wolberg-Stok

Global Head of Fintech Policy for Global Consumer Banking

Citi

Andres Wolberg-Stok’s Biography

12:45pm – 1:15pm

Participants

Craig Phillips

Speaker

Craig Phillips

Counselor to the Secretary

U.S. Department of the Treasury

Craig Phillips’s Biography

1:15pm – 1:15pm

Conference Adjourns

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accommodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)

Related Resources

Media

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Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Emily Reinus at 212.313.1339.

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View SIFMA’s official press policy.

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SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

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For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.