Financial Innovation and the SEC

Fintech Forum Agenda (Panelists as scheduled to appear)

• 7:45 a.m. ET | Doors Open

• [+]9:00-9:15 a.m. ET | Opening Remarks

  Opening Remarks by Chair White, followed by Commissioner Stein, and Commissioner Piwowar

• [+]9:15-10:30 a.m. ET | Panel 1 – Impact of Recent Innovation in Investment Advisory Services

  Moderator: Kristin Snyder, Co-Head of the Investment Advisor/Investment Company program in
  the SEC Office of Compliance Inspections and Examinations
  
  Panelists

  • Ben Alden, General Counsel of Betterment
  • Bo Lu, Co-Founder and CEO of Future Advisor at Blackrock
  • Mark Goines, Vice Chairman of Personal Capital
  • Neesha Hathi, Executive Vice President for Investor Services Platforms,
    Strategy and Client Experience at Charles Schwab
  • Jim Allen, Head of Capital Markets Policy Group, CFA Institute

• 10:30-10:45 a.m. ET | Break

• [+]10:45 a.m.-12:15 p.m. ET | Panel 2 – Impact of Recent Innovation on Trading, Settlement, and Clearance Activities

  Moderator: Valerie Szczepanik, Head of the SEC Distributed Ledger Technology Working Group;
  Assistant Director, SEC Division of Enforcement
  
  Panelists

  • Brad Peterson, Executive Vice President and
    Chief Information Officer/Chief Technology Officer at Nasdaq
  • Chris Church, Chief Business Development Officer, Digital Asset Holdings
  • Mark Wetjen, Head of Global Public Policy at DTCC
  • Professor Emin Gun Sirer, Cornell University
  • Grainne McNamara, Principal in the Capital Markets team at PricewaterhouseCoopers

• 12:15-1:30 p.m. ET | Lunch Break

• [+]1:30-3:00 p.m. ET | Panel 3 – Impact of Recent Innovation in Capital Formation

  Moderator: Sebastian Gomez Abero, Head of the Office of Small Business Policy,
  SEC Division of Corporation Finance
  
  Panelists

  • Matt Burton, CEO, co-founder of Orchard Platform
  • Conor French, General Counsel of Funding Circle and co-founder of
    the Marketplace Lending Association
  • Javier Saade, Managing Director at Fenway Summer Ventures
  • Sara Hanks, Co-founder and CEO of CrowdCheck
  • Michael Pieciak, Commissioner of the Vermont Department of Financial Regulation and
    Chair of NASAA Corporate Finance Section
  • Karen Mills, Senior Fellow at Harvard Business School
  • Ram Ahluwalia, CEO and Co-Founder of PeerIQ

• 3:00-3:15 p.m. ET | Break

• [+]3:15-4:30 p.m. ET | Panel 4 – Investor Protection in the Fintech Era

  Moderator: Marc Wyatt, Director of SEC Office of Compliance Inspections and Examinations
  
  Panelists

  • Travis Schwab, CEO of Eventus Systems
  • John Walsh, Partner at Sutherland Asbill & Brennan LLP
  • Nikhil Lele, Principal in the Financial Services Office at Ernst and Young
  • Rick Fleming, SEC Investor Advocate

• 4:30 p.m. ET | Fintech Forum concludes