Overview

The SIFMA Fintech Conference examines the impact of emerging technology on the capital markets and how to innovate within existing regulatory frameworks.

Join innovators and industry leaders on September 25 in New York City to discuss issues across risk, operations and compliance and how you can ensure successful fintech implementation.

Early bird rates available until August 23 – view the program and register today!

Stay tuned for more speaker announcements coming soon.

Fintech Conference

Date

September 25, 2019

Location

New York, NY

Early Bird Rates – Until 8/23/19

  • Member $595
  • Non-Member $695
  • Regulator $395

Overview

The SIFMA Fintech Conference examines the impact of emerging technology on the capital markets and how to innovate within existing regulatory frameworks.

Join innovators and industry leaders on September 25 in New York City to discuss issues across risk, operations and compliance and how you can ensure successful fintech implementation.

Early bird rates available until August 23 – view the program and register today!

Stay tuned for more speaker announcements coming soon.

Program

8:00am – 5:40pm

Registration Desk Hours

8:00am – 9:00am

Networking Breakfast

9:00am – 9:05am

Welcome Remarks

9:05am – 9:30am

Participants

Tom Eck

Speaker

Tom Eck

Chief Technology Officer

IBM

Tom Eck’s Biography

9:30am – 10:20am

There are many theoretical and aspirational applications of AI and machine learning. However, the hard part is translating theory into practice through the implementation and management of these technologies. This panel…

There are many theoretical and aspirational applications of AI and machine learning. However, the hard part is translating theory into practice through the implementation and management of these technologies. This panel will discuss the challenges of implementation – and management of the technology post-implementation, including regulatory and other considerations.

10:20am – 10:40am

Networking Break

10:40am – 11:30am

How does regtech enhance compliance and oversight? What are the use cases for regtech in large, regional and small firms? How do firms vet regtech products? Is regtech a necessity…

How does regtech enhance compliance and oversight? What are the use cases for regtech in large, regional and small firms? How do firms vet regtech products? Is regtech a necessity for effective compliance and oversight?

Participants

Eric Hains, Kavita Jain, Ryan Orr

Panelists

Eric Hains

Head of Surveillance

TD Ameritrade

Eric Hains’s Biography

Kavita Jain

Director, Office of Financial Innovation

FINRA

Kavita Jain’s Biography

Ryan Orr

Director, Managing Counsel

Pershing, a BNY Mellon Company

Ryan Orr’s Biography

11:30am – 12:10pm

Innovative companies and start-ups will showcase applications of new technology.

Innovative companies and start-ups will showcase applications of new technology.

12:10pm – 12:30pm

Keynote Speaker

12:30pm – 1:30pm

Sponsored by ComplySci

Sponsored by ComplySci

1:30pm – 2:20pm

What are the current and potential use cases for smart contracts? What are the cyber and regulatory challenges to using smart contracts? Do smart contracts pose any unique litigation risks?

What are the current and potential use cases for smart contracts? What are the cyber and regulatory challenges to using smart contracts? Do smart contracts pose any unique litigation risks?

Participants

Colin D. Lloyd, Caroline D. Pham, Charles M. Post

Moderator

Panelists

Caroline D. Pham

Director and Head of Markets Regulatory Implementation

Citi

Caroline D. Pham’s Biography

Charles M. Post

Head of Legal Data Management & Advisory

BNY Mellon

Charles M. Post’s Biography

2:20pm – 3:30pm

Innovative companies and start-ups will showcase applications of new technology.

Innovative companies and start-ups will showcase applications of new technology.

3:30pm – 3:45pm

Networking Break

3:45pm – 4:40pm

What are the use cases for cloud storage for financial institutions? What regulatory obstacles do US financial institutions face in adopting cloud storage? How should firms assess cloud storage vendors?

What are the use cases for cloud storage for financial institutions? What regulatory obstacles do US financial institutions face in adopting cloud storage? How should firms assess cloud storage vendors?

Participants

Larry Bortstein, Michael Di Stephan, Ann Stanley

Panelists

Larry Bortstein

Founding Partner

Bortstein Legal Group

Larry Bortstein’s Biography

Michael Di Stephan

Executive Director, Tech IP Legal Group

Morgan Stanley

Michael Di Stephan’s Biography

Ann Stanley

Managing Director and Senior Managing Counsel

BNY Mellon

Ann Stanley’s Biography

4:40pm – 5:40pm

Networking Reception

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)

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Evan Grogan at 212.313.1134.

Policy
View SIFMA’s official press policy.

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. View our Code of Conduct and anonymous incident report form.

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.