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Dialogue with the Regulators:
Navigating Blockchain & Fintech
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Dialogue with the Regulators: Navigating Blockchain & Fintech unlocks the critical partnerships between the financial services industry, solution providers, key industry leaders, and regulators leveraging technology to drive innovation and regulatory change.

At the forefront of revolutionary changes in fintech and regtech is blockchain technology. Worldwide spending on blockchain solutions alone is expected to grow from $1.5 billion in 2018 to an estimated $11.7 billion by 2022 with the financial sector accounting for over 60 percent of the market value of blockchain worldwide (Statista). As overall fintech solutions evolve, the regulatory landscape will face enormous challenges in keeping up with technology disruption.

The forum brought together the fintech ecosystem for an intimate and productive dialogue focused on collaborative and innovative approaches towards building a robust financial and regulatory compliant environment.

Panel Discussions

Fintech Impact on US & Global Payments Systems & Alt Currencies

  • Implications of regtech applications for financial markets, including payment and settlement systems (e.g., the effects of DLT and smart contracts on the speed and efficiency of settlement and transparency)
  • Digital payment vulnerabilities- compliance risks, transaction laundering, buyer/seller collusion, synthetic identity fraud, and terrorist financing
  • Legal and compliance considerations-state and federal consumer protection laws, anti-money laundering, state money transmitter licensing

Blockchain & Digital Assets

  • Recent innovations in blockchain and digital assets
  • Top concerns for compliance leaders in financial institutions on regtech adoption, issuance, investor onboarding, KYC/AML, custody issues, secondary trading
  • Digital asset governance challenges including regulations, regulatory action and compliance

Dialogue with the Regulators: Innovation & Regulation

  • Guidance from Bank for International Settlements (BIS) on Suptech (i.e., the issue of innovative technology by supervisory agencies), potential for global regulators to leverage the use of tech & innovation to enhance compliance
  • Creating a path/facilitating the ability of machines to process FINRA rules
  • SEC Enforcement Guidance covering Crypto, Digital Assets, and Cybersecurity (Recent enforcement actions, $1.7 Billion Unregistered Token Offering Halted (Telegram Group Inc and TON)
  • Criticality of establishing robust firm policies and procedures, overall firm goals and adherence to best practices
  • Launching digital efforts by a global investment bank and impact on data, largest ATS as a SCI entity
Time & Location
5 November 2019
Times Square, New York
3:30pm- 8:30pm EST
Featured Participants
Senior regulators from the SEC, FINRA, & CFPB, along with key industry thought leaders, fintech and regtech solution providers
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Speakers

Chairperson

AmyPoster
Amy Poster

Risk and Regulatory Lead
Horizon

John O. Enright

SEC

John O. Enright

Assistant Director in the Division of Enforcement.

Daphna A. Waxman

SEC

Daphna A. Waxman

Senior Attorney in the Division of Enforcement

Alex Khachaturian

FINRA

Alex Khachaturian

Director in FINRA’s Office of Financial Innovation (OFI)

William Wade-Gery

CFPB

William Wade-Gery

Senior Advisor in the Office of Innovation

Mark Elenowitz
Mark Elenowitz

CEO TriPoint Global Equities
TriPoint Global Equities

Rob Farling
Rob Farling

Director, Risk Consulting
RSM US LLP

Richard Friedman
Richard Friedman

Partner
Sheppard Mullin

Jeff Horowitz
Jeff Horowitz

Chief Compliance Officer
Coinbase

Yusuf Hussain
Yusuf Hussain

Head of Risk
Gemini

Jodi Jamison
Jodi Jamison

Chief Regulatory Officer
ETC

Vlad Khandros
Vlad Khandros

Global Head of Market Structure and Liquidity Strategy
UBS

Morris Marshburn
Morris Marshburn

National Leader, Specialty Finance
RSM

Vince L. Martinez
Vince L. Martinez

Partner
K&L Gates

Joseph Rotunda
Joseph Rotunda

Director, Enforcement Division
Texas State Securities Board

F. Jim Della Sala
F. Jim Della Sala

Group Vice President
Wilmington Trust

Jay Schulman
Jay Schulman

Principal, Risk Consulting
RSM

Kathy Tomasofsky
Kathy Tomasofsky

Executive Director
MSBA

Kristen Walters
Kristen Walters

Global Chief Operating Officer of BlackRock's Risk & Quantitative Analysis Group
Blackrock

Andrew Yeung
Andrew Yeung

General Counsel Paxful
Paxful

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Sponsors


Platinum Sponsors

Sheppard_mullin

Gold Sponsors

Wilmington

Silver Sponsors

Sheppard_mullin
Sheppard_mullin