WASHINGTON, D.C. (October 4, 2019) — The North American Securities Administrators Association (NASAA) today announced the agenda and speakers for its October 29, 2019 Fintech and Cybersecurity Symposium.
The symposium will be held from 9 a.m. to 4 p.m. in the Spire Event Center, 750 First Street NE, in Washington, D.C. Seating is limited and NASAA is livestreaming the roundtable. Registration information to attend in person or online is available on NASAA’s website, www.nasaa.org.
Following opening remarks by Christopher Gerold, NASAA President and Chief of the New Jersey Bureau of Securities, the day-long program will open with a keynote address by Dr. Victoria Adams, Government Practice Lead at blockchain technology company Consensys. Dr. Adams will discuss the capabilities of fintech and issues confronting regulators going forward as this technology evolves.
The program also includes three discussions. The first, moderated by Jillian Lazar, Delaware’s Director of Investor Protection, will examine the benefits of innovative fintech projects and the challenges facing innovators as they bring their vision to market. Panelists include Sara Hanks, CEO and Founder, CrowdCheck Inc.; Rosita Najmi, Senior Program Officer, Bill & Melinda Gates Foundation; Gregory Strong, Principal, DLX law; and Chris Brummer, Professor, Georgetown University Law Center.
The second discussion, moderated by Claire McHenry, Nebraska’s Deputy Director of Securities, will focus on the future of fintech and its regulatory landscape. Panelists include Matthew Bouillon-Mascareñas, Director of the New Mexico Securities Division; Katherine Milgram, Head of Regulatory Affairs and Chief Legal Counsel, The Guardian Life Insurance Company of America; Bill Rockwood, Financial and Technology Policy Advisor, Congressman Darren Soto (D-FL); Alan McQuinn, Senior Policy Analyst, Information Technology and Innovation Foundation; and Amy Starr, Chief of the Office of Capital Markets Trends, U.S. Securities and Exchange Commission.
The afternoon session will begin with a session bringing together cybersecurity and financial innovation experts to discuss common cybersecurity threats facing broker-dealers and investment advisers and their impact on firms and investors. Moderated by Andrew Hartnett, Deputy Administrator for Securities of the Iowa Securities Bureau, the panel includes Kavita Jain, Director, Financial Innovation, FINRA; Adam DiPaolo; Associate General Counsel and Senior Consultant, Ascendant Compliance; and Matthew Fink, Compliance/Audit Investigator III, Nevada Securities Division.
The program continues with an unclassified overview of the current nature of the cyber threat to American institutions and businesses, including financial services firms, from Matthew B. Floyd, Supervisory Special Agent, Federal Bureau of Investigation.
The program concludes with a review and of discussion of cybersecurity events, enforcement actions and trends, and regulatory measures designed to further strengthen the cybersecurity practices of firms moderated by Jake van der Laan, Enforcement Director and Chief Information Officer, New Brunswick Financial & Consumer Services Commission. Panelists include David Kelley, Surveillance Director, FINRA; Assunta Vivolo, Assistant Regional Director of the Cyber Unit at the U.S. Securities and Exchange Commission; Justin Herring, Executive Deputy Superintendent, Cybersecurity Division at New York Department of Financial Services; and Charles DeSimone, Vice President, Securities Industry and Financial Markets Association.