WASHINGTON, D.C. – (December 7, 2021) – The North American Securities Administrators Association (NASAA) today announced the speakers and agenda for its December 14, 2021, Fintech and Cybersecurity Symposium.

The online symposium, which is open to the public, will be held from 12:00 p.m. -5:00 p.m. ET. Registration and Symposium information is available on NASAA’s website, www.nasaa.org/events.

“The NASAA Fintech and Cybersecurity Symposium fosters timely discussion on the challenges that technological innovations bring to securities regulation,” said Melanie Senter Lubin, North American Securities Administrators Association (NASAA) President and Maryland Securities Commissioner. “While innovations and expanded access to capital markets to previously underserved individuals or groups are important, the securities laws and rules surrounding investor protection against fraud and misconduct still apply.”

The program will begin with opening remarks from President Lubin. Following her will be a keynote address by Jonathan Rajewski, Managing Director of Digital Forensics and Incident Response with Stroz Friedberg. Rajewski is a recognized industry leader in the field of digital forensics who has helped shape best practices in digital investigations and risk management.

The program also includes two panel discussions: 

Panel 1: The Future of Decentralized Finance (DeFi): What if there is no center to hold?: This panel will explore what “decentralization” means to the industry, what it means to regulators and whether there needs to be a new idea of a central mover that regulators can use to enforce investor protection.

• Moderator: Tung Chan, Securities Commissioner, Colorado Division of Securities.
  Panelists: Jason P. Gottlieb, Partner & Chair, White Collar and Regulatory Enforcement, Morrison Cohen, LLP; Gary DeWaal, Special Counsel, Katten Muchin Rosenman; Chris Brummer, Law Professor, Georgetown University Law Center; and Marc Boiron, General Counsel, dYdX.

Panel 2: Regulation Along the Continuum: Self-serving or Self-defeating?: This panel will examine the potential for conflict, and the need to assess responsibility, when firms employ third-party services and products for cybersecurity compliance programs.

• Moderator: Matthew Vatter, Assistant Commissioner of Enforcement, Minnesota Department of Commerce. Panelists: Salvatore Montemarano, Division of Examinations, Technology Control Program, SEC; Keith Bettencourt, Specialist Manager Cybersecurity, FINRA; Catherine Rudow, Vice President of Cyber Insurance, Nationwide; Dan Sanderson, Vice President of Strategy, CyberAdvisor.

– NASAA–

About NASAA:

Formed in 1919, NASAA is a nonprofit association of state, provincial and territorial securities regulators in the United States, Canada and Mexico. NASAA has 67 members, including the securities regulators in all 50 states, the District of Columbia, Puerto Rico, and the U.S. Virgin Islands with a shared mission of protecting investors from fraud and abuse. For more information, visit: www.nasaa.org.