Fintech Conference

Date

June 20 - June 21, 2018

Location

New York, NY

Pre-Conference Rates – Until 6/19/18

  • Member $645
  • Non-Member $745
  • Regulator $395

Overview

Fintech continues to drive the transformation of the securities industry: artificial intelligence 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, on June 20-21 in New York City, will bring together innovators and industry leaders to discuss these developments and how they are changing the way firms understand and interact with their customers, manage risk, and run their operations.

Program

12:00pm – 6:00pm

Explore the program below and stay tuned for more speaker announcements.

Explore the program below and stay tuned for more speaker announcements.

12:00pm – 2:00pm

Registration and Lunches with Diamond Sponsors

2:00pm – 2:05pm

Participants

Randy Snook

Speaker

Randy Snook

Executive Vice President, Business Policies & Practices

SIFMA

Randy Snook’s Biography

2:05pm – 2:30pm

Keynote Speaker: Emerging Technology Perspective

2:30pm – 2:55pm

Participants

Beth Knickerbocker

Speaker

2:55pm – 3:10pm

Networking Break

3:10pm – 4:30pm

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

Richard B. Levin, Charles M. Post, Mark Smith

Speakers

Richard B. Levin

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

Richard B. Levin’s Biography

Charles M. Post

Managing Counsel & Director

BNY Mellon

Charles M. Post’s Biography

Mark Smith

CEO Co-Founder

Symbiont

Mark Smith’s Biography

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

Vijay Mayadas, Grainne McNamara, Sunayna Tuteja

Speakers

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

Sunayna Tuteja

Director of Emerging Technologies, Innovation & Strategic Partnerships

TD Ameritrade, Inc.

Sunayna Tuteja’s Biography

5:20pm – 6:20pm

Networking Reception

8:00am – 8:40am

Registration

8:00am – 8:45am

Breakfast with Diamond Sponsors

8:40am – 8:45am

Participants

Thomas F. Price

Speaker

Thomas F. Price

Managing Director, Technology, Operations, and Business Continuity

SIFMA

Thomas F. Price’s Biography

8:45am – 9:15am

Participants

Craig Phillips

Speaker

Craig Phillips

Counselor to the Secretary

U.S. Department of the Treasury

Craig Phillips’s Biography

9:15am – 9:35am

Participants

Rob High

Speaker

Rob High

IBM Fellow, Vice President and Chief Technology Officer

IBM Watson

Rob High’s Biography

9:35am – 10:25am

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.

Participants

Martin Caupin, Gautam Moorjani, Rob Stanich

Panelists

Martin Caupin

Data Scientist

BNP Paribas

Martin Caupin’s Biography

Gautam Moorjani

Partner, Financial Services Advisory

PwC

Gautam Moorjani’s Biography

Rob Stanich

Offering Manager for Financial Markets and Banking

IBM Watson Financial Services

Rob Stanich’s Biography

10:35am – 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

Stefan Dicker, Jennifer Klass, Gary Nichols

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, Fixed Income Risk Operations & Technology

AB

Michael Herskovitz’s Biography

Andres Wolberg-Stok

Global Head of Fintech Policy

Citi Global Consumer Banking

Andres Wolberg-Stok’s Biography

12:45pm – 12:45pm

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

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Monica Ilyevsky at 212.313.1263 by May 4, 2018.

Terms and Conditions

Code of Conduct
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.

Attendee Roster
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.