Overview

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

On September 25 in New York City, innovators, industry leaders, tech, and legal professionals gathered to discuss issues across risk, operations and compliance and how you can ensure successful fintech implementation.

View the 2019 program

Fintech Conference

Date

September 25, 2019

Location

New York, NY

Overview

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

On September 25 in New York City, innovators, industry leaders, tech, and legal professionals gathered to discuss issues across risk, operations and compliance and how you can ensure successful fintech implementation.

View the 2019 program

Program

8:00am – 5:30pm

Registration Desk Hours

8:00am – 9:00am

Networking Breakfast

9:00am – 9:05am

Participants

Melissa MacGregor

Speaker

Melissa MacGregor

Managing Director and Associate General Counsel

SIFMA

Melissa MacGregor’s Biography

9:05am – 9:30am

Participants

Amias Gerety

Speaker

9:30am – 10:15am

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.

Participants

Charles DeSimone, Michael J. Alexander, Randy Guy, Eric Hains, Darrin Williams

Moderator

Charles DeSimone

Vice President, Technology and Operations

SIFMA

Charles DeSimone’s Biography

Panelists

Michael J. Alexander

President, Wealth & Capital Markets Solutions

Broadridge Financial Solutions Inc.

Michael J. Alexander’s Biography

Randy Guy

Chief Technology Officer, Capital Markets

FIS

Randy Guy’s Biography

Eric Hains

Head of Surveillance

TD Ameritrade

Eric Hains’s Biography

Darrin Williams

Principal, Financial Services

EY

Darrin Williams’s Biography

10:15am – 10:35am

10:35am – 11:20am

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

Grace Ang, David Choi, Kavita Jain, Ryan Orr

Moderator

Grace Ang

Executive Director, IT Contracting & Shared Services Legal

UBS AG

Grace Ang’s Biography

Panelists

David Choi

Partner

PwC

David Choi’s Biography

Kavita Jain

Director, Office of Financial Innovation

FINRA

Kavita Jain’s Biography

Ryan Orr

Director, Managing Counsel

Pershing LLC, a BNY Mellon Company

Ryan Orr’s Biography

11:20am – 12:00pm

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

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

How emerging technologies can help financial services firms meet the compliance challenges in evaluating and implementing modern collaboration platforms like Zoom, Microsoft Teams, and WebEx.

How emerging technologies can help financial services firms meet the compliance challenges in evaluating and implementing modern collaboration platforms like Zoom, Microsoft Teams, and WebEx.

Participants

Marc Gilman

Speaker

Marc Gilman

General Counsel and Vice President of Compliance

Theta Lake

Marc Gilman’s Biography

Using smart technology and data science to help firms more effectively comply with sanctions screening and AML monitoring regulations.

Using smart technology and data science to help firms more effectively comply with sanctions screening and AML monitoring regulations.

Participants

Joon Pak

Speaker

Joon Pak

Director of AML Technology

ComplyAdvantage

Joon Pak’s Biography

12:00pm – 12:20pm

Participants

Nickolas Delikaris

Speaker

Nickolas Delikaris

Managing Director, Global Head of Trading and Algorithmic Strategies

State Street Global Markets

Nickolas Delikaris’s Biography

12:20pm – 1:20pm

Sponsored by ComplySci

Sponsored by ComplySci

1:20pm – 1:40pm

Artificial Intelligence and machine learning hold significant potential for automating data-driven predictions and decisions at scale. As these technologies are spreading into many aspects of life they face increasing scrutiny…

Artificial Intelligence and machine learning hold significant potential for automating data-driven predictions and decisions at scale. As these technologies are spreading into many aspects of life they face increasing scrutiny and controversy especially when high-stakes, life-altering decisions are concerned, including the potential for making biased and unfair decisions as well as lacking transparency about how these decisions are arrived at.

Using the example of the FICO® Score and the US Fair Lending Laws and Regulations we will discuss how FICO operationalizes AI/ML in a manner that’s analytically effective, explainable and transparent, legally compliant and fair to consumers.

Participants

Dr. Gerald Fahner

Speaker

Dr. Gerald Fahner

Senior Principal Scientist

FICO

Dr. Gerald Fahner’s Biography

1:40pm – 2:30pm

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, Artem Korenyuk, Joseph S. Mendel, Caroline D. Pham, Charles M. Post

Moderator

Panelists

Artem Korenyuk

Executive Director, Business Innovation and Fintech Strategy

DTCC

Artem Korenyuk’s Biography

Caroline D. Pham

Deputy Head of Global Regulatory Affairs

Citi

Caroline D. Pham’s Biography

Charles M. Post

Head of Legal Data Management & Advisory

BNY Mellon

Charles M. Post’s Biography

2:30pm – 2:50pm

Networking Break

2:50pm – 3:30pm

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

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

Leveraging data science, technology and deep domain expertise to create multi-factor ratings that help firms better understand entity and counter-party compliance risk at scale.

Leveraging data science, technology and deep domain expertise to create multi-factor ratings that help firms better understand entity and counter-party compliance risk at scale.

Participants

Peter Arnold, Stuart Jones

Speakers

Peter Arnold

Director of Product

Sigma Ratings

Peter Arnold’s Biography

Stuart Jones

Co-Founder and Chief Executive Officer

Sigma Ratings

Stuart Jones’s Biography

Explore how distributed ledger technology and smart contracts can transform structured credit markets through improvements in due diligence and document management.

Explore how distributed ledger technology and smart contracts can transform structured credit markets through improvements in due diligence and document management.

Participants

Patrick Dietz, Charles Moore

Speakers

Patrick Dietz

Director of Product and Strategy

Global Debt Registry

Patrick Dietz’s Biography

Charles Moore

Chief Executive Officer

Global Debt Registry

Charles Moore’s Biography

3:30pm – 4:25pm

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, Iain Duke-Richardet, Ann Stanley

Moderator

Larry Bortstein

Founding Partner

Bortstein Legal Group

Larry Bortstein’s Biography

Panelists

Michael Di Stephan

Executive Director, Tech IP Legal Group

Morgan Stanley

Michael Di Stephan’s Biography

Iain Duke-Richardet

Principal Director, Financial Services

Accenture

Iain Duke-Richardet’s Biography

Ann Stanley

Managing Director and Senior Managing Counsel

BNY Mellon

Ann Stanley’s Biography

4:25pm – 4:30pm

Participants

Charles DeSimone

Speaker

Charles DeSimone

Vice President, Technology and Operations

SIFMA

Charles DeSimone’s Biography

4:30pm – 5:30pm

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.