LIBOR – Preparing for Alternative Reference Rates
On Wednesday, September 16 at 1:00 - 2:00 p.m. EDT, this webinar will discuss how operations professionals need to prepare…
Fintech Conference
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.
Fintech Conference
Registration Closed
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.
Register
| Early Bird Rates | $595 |
|---|---|
| Pre-Conference Rates | $645 |
| On-Site Rates | $745 |
| Early Bird Rates | $695 |
|---|---|
| Pre-Conference Rates | $745 |
| On-Site Rates | $845 |
| Early Bird Rates | $395 |
|---|---|
| Pre-Conference Rates | $395 |
| On-Site Rates | $495 |
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Early Bird Rates | $595 | $695 | $395 |
| Pre-Conference Rates | $645 | $745 | $395 |
| On-Site Rates | $745 | $845 | $495 |
Program
8:00am – 5:30pm
Registration Desk Hours
8:00am – 9:00am
Networking Breakfast
9:00am – 9:05am
Participants
Melissa MacGregor
Speaker
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
Panelists
10:15am – 10:35am
Sponsored by Orion Advisor Services, LLC
Sponsored by Orion Advisor Services, LLC
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
Panelists
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
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
12:00pm – 12:20pm
Participants
Nickolas Delikaris
Speaker
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
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
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
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
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, Mike Di Stephan, Iain Duke-Richardet, Ann Stanley
Moderator
Panelists
4:25pm – 4:30pm
Participants
Charles DeSimone
Speaker
4:30pm – 5:30pm
Networking Reception
Venue
SIFMA Conference Center
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.
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)
Sponsorship
Questions? Contact Diana Serri at 212.313.1258.
Gold
Silver
Contributor
SIFMA's Strategic Partners
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.