The SEC announced the agenda and panelists for a public forum on fintech innovation in the financial services industry. The forum will be held on November 14, 2016.

The public forum will be webcast live on the SEC website. The agenda for the forum is as follows:

9:00 a.m.: Opening Remarks by SEC Chair Mary Jo White, Commissioner Kara M. Stein and Commissioner Michael S. Piwowar

9:15 a.m.: 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:

    • General Counsel of Betterment Ben Alden
    • Co-Founder and CEO of Future Advisor at Blackrock Bo Lu
    • Vice Chairman of Personal Capital Mark Goines
    • CFA Institute Head of Capital Markets Policy Group Jim Allen

10:30 a.m.: Break

10:45 a.m.: Panel 2: Impact of Recent Innovation on Trading, Settlement and Clearance Activities

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

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

12:15 p.m.: Lunch Break

1:30 p.m.: Panel 3: Impact of Recent Innovation in Capital Formation

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

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

3:00 p.m.: Break

3:15 p.m.: Panel 4: Investor Protection in the Fintech Era

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

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

4:30 p.m.: Fintech Forum Concludes

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