Social Media & Digital Marketing Seminar
Join the leading names in social media and experts in wealth management for an industry discussion on the best practices,…
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
Early Bird Rates | $595 |
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Pre-Conference Rates | $645 |
On-Site Rates | $695 |
Early Bird Rates | $695 |
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Pre-Conference Rates | $745 |
On-Site Rates | $795 |
Early Bird Rates | $395 |
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Pre-Conference Rates | $395 |
On-Site Rates | $395 |
Member | Non-Member | Regulator | |
---|---|---|---|
Early Bird Rates | $595 | $695 | $395 |
Pre-Conference Rates | $645 | $745 | $395 |
On-Site Rates | $695 | $795 | $395 |
Early bird rates ended on May 18, 2018. Please refer to the Terms and Conditions for information on cancellations, substitutions and more.
Registration questions? Contact Lizzie Grimm | Program questions? Contact Charles DeSimone and Chris Killian
12:00pm – 6:20pm
12:00pm – 2:00pm
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
Ben Shorten, Venetia Woo, Aron Elston
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.
Michael J. Alexander, Marc Zutty
President, Wealth & Capital Markets Solutions
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.
Shyam Nagarajan
2:25pm – 2:30pm
Randy Snook
2:30pm – 2:55pm
Beth Knickerbocker
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 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.
Horacio Barakat, Ron Papanek
What they are and what they mean for the Securities Industry.
Charles M. Post
Michael J. Alexander, John Evans, Richard B. Levin, Ron Papanek, Charles M. Post
President, Wealth & Capital Markets Solutions
Senior Investment Fintech Strategist, Investment Management Group
Chair of the Financial Services Technology (FinTech) and Regulation Practice
4:15pm – 4:30pm
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 it affect the workforce of the future?
Sadia Halim, Amit Gupta, Brian Lincoln, Vijay Mayadas, Grainne McNamara
Principal, Financial Services & Banking and Capital Markets
5:20pm – 6:20pm
8:00am – 1:15pm
8:00am – 9:00am
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
Ben Shorten, Venetia Woo, Aron Elston
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.
Horacio Barakat, John Garahan, Hrishikesh Nashikkar
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.
Judith Pinto
9:10am – 9:15am
Thomas F. Price
Managing Director, Technology, Operations, and Business Continuity
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 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.
Rob High
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 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.
Riyaz Nakhooda
Explore predictive analytics and see a demo of how it can used to transform analysis of news and market events.
Kumesh Aroomoogan
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.
Martin Caupin
Akhilesh Tripathi, Martin Caupin, Rob Stanich, Joseph Voyles
Vice President and Head of Global Sales for Software Products & Platforms
Offering Manager for Financial Markets and Banking
10:30am – 10:50am
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 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.
Christopher B. Killian, Jennifer Klass, Stefan Dicker, Gary Nichols
Managing Director, Securitization and Corporate Credit
Managing Director, Security Design & Engineering, Schwab Cybersecurity Services
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 what works internationally, and debate regulatory considerations for overseeing innovation in the capital markets.
Jai Massari, Elijah Alper, Michael Herskovitz, Jessica Renier, Andres Wolberg-Stok
Senior Vice President & Partner, Co-Head Global Operations and Technology
Global Head of Fintech Policy for Global Consumer Banking
12:45pm – 1:15pm
Craig Phillips
1:15pm – 1:15pm
120 Broadway
Floor 2
New York, NY 10271
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.
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)
Questions? Contact Diana Serri at 212.313.1258.
View Sponsor Profiles (PDF)
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.
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 conference[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.
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