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13
4/9/2019 Fintech Conference - Fintech Conference - SIFMA https://www.sifma.org/event/fintech/#sessions 1/13
Transcript of xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ...
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492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 113
Registration Desk Hours
Lunch with Our Diamond Sponsors
Accenture
Session 1 Applying The New to Regulatory Change Management
Come and see the new technologies being applied to the regulatory change process to
drive operational efficiency and enhanced control as financial institutions continue to
develop a Compliance function fit for the digital age
Speaker Ben Shorten
Session 2 Blockchain Solution for Consolidated Audit Trail ndash Customer and Trade
Data Reconciliation and Regulatory Submission for CAT
This demonstration uses blockchain as an interface to provide shared common access
for broker-dealers with specific privileges to a single secure source of data The different
actors can cross-check data with counterparties flawlessly removing the need for data
reconciliation prior to submitting trade order and reference information to the
regulators
Speaker Venetia Woo
Session 3 Introduction to Accenture Analytics Chatbot that Communicates with
Users Through Messaging Apps Chat Windows or Voice Using Natural Language
Fintech Conference
Wednesday June 20 2018
1200pm ndash 620pm
1200pm ndash 200pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 213
The Analytics Bot takes on the work of analyzing and interpreting large amounts of data
to answer business questions based on related transaction customer and other
enterprise data to support decision making The solution can also serve multiple
functions within the organization to help firms prevent cost leakage save on unwanted
expenses related to their resources efforts increase team productivity and improve
decision making and performance over a period of time
Speaker Aron Elston
Speakers
Ben ShortenCompliance Transformation Lead North America
Accenture
Venetia WooNorth American Regulatory Strategy Lead
Accenture
Aron ElstonNational Leader for Reg amp Compliance Analytics
Accenture
Broadridge Financial Solutions Inc
The AI Force Awakens What are the Achilles Heel and Real Value of AI
The Broadridge hosted fireside chat on Artificial Intelligence features a QampA discussion
on the impact of AI in the financial services industry the Achilles Heel to deploying AI
and the real value of AI across a network of industry participants Come learn about the
results of the AI sentiment survey Broadridge did and find out which movie resembles
the future of AI
Speakers
Michael J AlexanderPresident Wealth amp Capital Markets Solutions
Broadridge Financial Solutions Inc
Marc Zutty
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 313
Vice President Strategy and Business Development
Broadridge Financial Solutions Inc
IBM
Blockchain Consortium Governance and Operating Model
Blockchain technology has moved from pilot proof-of-concept phase to real use cases
Many early adopters have formed consortium and come under a network to leverage
blockchain among member participants They have overcome huge hurdles formed new
legal structures and mitigated risks to launch such networks However in order to truly
scale the network and derive intended benefits the governance and operating model
needs to be flushed out In this session yoursquoll hear how IBM is working with such
consortium to help institute a governance and operating model to better facilitate
interaction among member participants of the network
Speaker
Shyam NagarajanDirector of Global Blockchain Sales
IBM
Welcome Remarks
Speaker
Randy SnookExecutive Vice President Business Policies amp Practices
SIFMA
Regulator Perspective
Speaker
Beth KnickerbockerChief Innovation Officer
Office of the Comptroller of the Currency (OCC)
225pm ndash 230pm
230pm ndash 255pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 413
Blockchain Solutions
This session will explore how market participants are using Distributed Ledger
Technology (DLT) to advance innovation in the securities industry and will examine the
current state of DLT implementation Hear from firms that are moving their DLT projects
from the proof-of-concept phase into production as well as those planning to make the
transition in the near future This interactive session will include live demos
A ndash Solution Presentations amp Demos
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
Ron PapanekManaging Director
Symbiont
B ndash Smart Contracts
What they are and what they mean for the Securities Industry
Speaker
Charles M PostHead of Legal Data Management amp Advisory
BNY Mellon
C ndash Panel Discussion Putting Blockchain Solutions into Production
Moderator
Michael J Alexander
255pm ndash 415pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 513
President Wealth amp Capital Markets Solutions
Broadridge Financial Solutions Inc
Panelists
John EvansSenior Investment Fintech Strategist Investment Management Group
Vanguard
Richard B LevinChair of the Financial Services Technology (FinTech) and Regulation Practice
Polsinelli PC
Ron PapanekManaging Director
Symbiont
Charles M PostHead of Legal Data Management amp Advisory
BNY Mellon
Networking Break
Sponsored by Polsinelli LLC
Fintech and the Future of the Securities Industry
What will the continuing adoption of fintech and future advances in analytics and
technology mean for the securities industry How will the role of securities firms evolve
and how will it affect the workforce of the future
Moderator
Sadia HalimManaging Director
BNP Paribas
Panelists
415pm ndash 430pm
430pm ndash 520pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 613
Amit GuptaManaging Director Capital Markets
Accenture
Brian LincolnWealth Management Solutions Lead Financial Markets
IBM
Vijay MayadasPresident Global Fixed Income and Analytics
Broadridge Financial Solutions Inc
Grainne McNamaraPrincipal Financial Services amp Banking and Capital Markets
PwC
Registration Desk Hours
Breakfast with Our Diamond Sponsors
Accenture
Session 1 Applying The New to Regulatory Change Management
Come and see the new technologies being applied to the regulatory change process to
drive operational efficiency and enhanced control as financial institutions continue to
develop a Compliance function fit for the digital age
Speaker Ben Shorten
Session 2 Blockchain Solution for Consolidated Audit Trail ndash Customer and Trade
Data Reconciliation and Regulatory Submission for CAT
This demonstration uses blockchain as an interface to provide shared common access
for broker-dealers with specific privileges to a single secure source of data The different
Networking Reception
520pm ndash 620pm
Thursday June 21 2018
800am ndash 115pm
800am ndash 900am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 713
actors can cross-check data with counterparties flawlessly removing the need for data
reconciliation prior to submitting trade order and reference information to the
regulators
Speaker Venetia Woo
Session 3 Introduction to Accenture Analytics Chatbot that Communicates with
Users Through Messaging Apps Chat Windows or Voice Using Natural Language
The Analytics Bot takes on the work of analyzing and interpreting large amounts of data
to answer business questions based on related transaction customer and other
enterprise data to support decision making The solution can also serve multiple
functions within the organization to help firms prevent cost leakage save on unwanted
expenses related to their resources efforts increase team productivity and improve
decision making and performance over a period of time
Speaker Aron Elston
Speakers
Ben ShortenCompliance Transformation Lead North America
Accenture
Venetia WooNorth American Regulatory Strategy Lead
Accenture
Aron ElstonNational Leader for Reg amp Compliance Analytics
Accenture
Broadridge Financial Solutions Inc
Blockchain Demo Deep Dive
Broadridge is creating a new bilateral repo environment using Distributed Ledger
Technology to facilitate seamless execution of repo trading and more effective use of
collateral This blockchain-enabled solution automates end-to-end processes
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 813
eliminating fails improving efficiency and reducing counterparty risk Come join us over
breakfast to get a deep dive of the demo and a chance to speak with our technologists
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
John GarahanVice President
Broadridge Financial Solutions Inc
Hrishikesh NashikkarBlockchain Lead
Broadridge Financial Solutions Inc
IBM
Transform Your Risk and Compliance Programs with Cognitive Solutions and
RegTech
This session will describe how RegTech is transforming the way compliance
departments operate allowing smaller teams to focus on higher-value activities shifting
them from information gatherers to information analyzers enabled by augmented
decision-making made possible through cognitive technologies Learn how financial
institutions can apply cognitive capabilities to meet ever-changing regulatory
expectations and radically reduce costs
Speaker
Judith PintoManaging Director
Promontory an IBM Company
Welcome Remarks
Speaker
910am ndash 915am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 913
Thomas F PriceManaging Director Technology Operations and Business Continuity
SIFMA
From Insight to Inspiration The Evolving Role of AI in Our Lives
Since the 2011 the ldquoAI Springrdquo has emerged and evolved rapidly Wersquove seen advances in
underlying analytic technologies practices and the application of AI to solving for a wide
range of problems However the AI industry is still in its infancy mdash both in terms of the
products and technologies on the market but also in terms of our understanding of its
full utility One of the key things that wersquore just beginning to fully grasp is the relationship
between people and AI technology mdash how the one is not replaced by the other but rather
by how AI augments and extends human intelligence In this talk I will outline the
evolutionary pressures that are driving further advances in AI technology and more
importantly the evolving role of AI in our lives
Speaker
Rob HighIBM Fellow Vice President and Chief Technology Officer
IBM Watson
AI ndash Machine Learning
This session will present the big-picture opportunities that artificial intelligence
technology presents Participants will view demos of examples of real-world application
and hear how market participants are operationalizing AI at their firms
A ndash Demo Arria
Explore the technology of natural language generation (NLG) and see a demo of how it
can be applied to enrich interactions with customers
Speaker
Riyaz NakhoodaHead of Market Strategy
915am ndash 935am
935am ndash 1030am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 2: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/2.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 213
The Analytics Bot takes on the work of analyzing and interpreting large amounts of data
to answer business questions based on related transaction customer and other
enterprise data to support decision making The solution can also serve multiple
functions within the organization to help firms prevent cost leakage save on unwanted
expenses related to their resources efforts increase team productivity and improve
decision making and performance over a period of time
Speaker Aron Elston
Speakers
Ben ShortenCompliance Transformation Lead North America
Accenture
Venetia WooNorth American Regulatory Strategy Lead
Accenture
Aron ElstonNational Leader for Reg amp Compliance Analytics
Accenture
Broadridge Financial Solutions Inc
The AI Force Awakens What are the Achilles Heel and Real Value of AI
The Broadridge hosted fireside chat on Artificial Intelligence features a QampA discussion
on the impact of AI in the financial services industry the Achilles Heel to deploying AI
and the real value of AI across a network of industry participants Come learn about the
results of the AI sentiment survey Broadridge did and find out which movie resembles
the future of AI
Speakers
Michael J AlexanderPresident Wealth amp Capital Markets Solutions
Broadridge Financial Solutions Inc
Marc Zutty
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 313
Vice President Strategy and Business Development
Broadridge Financial Solutions Inc
IBM
Blockchain Consortium Governance and Operating Model
Blockchain technology has moved from pilot proof-of-concept phase to real use cases
Many early adopters have formed consortium and come under a network to leverage
blockchain among member participants They have overcome huge hurdles formed new
legal structures and mitigated risks to launch such networks However in order to truly
scale the network and derive intended benefits the governance and operating model
needs to be flushed out In this session yoursquoll hear how IBM is working with such
consortium to help institute a governance and operating model to better facilitate
interaction among member participants of the network
Speaker
Shyam NagarajanDirector of Global Blockchain Sales
IBM
Welcome Remarks
Speaker
Randy SnookExecutive Vice President Business Policies amp Practices
SIFMA
Regulator Perspective
Speaker
Beth KnickerbockerChief Innovation Officer
Office of the Comptroller of the Currency (OCC)
225pm ndash 230pm
230pm ndash 255pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 413
Blockchain Solutions
This session will explore how market participants are using Distributed Ledger
Technology (DLT) to advance innovation in the securities industry and will examine the
current state of DLT implementation Hear from firms that are moving their DLT projects
from the proof-of-concept phase into production as well as those planning to make the
transition in the near future This interactive session will include live demos
A ndash Solution Presentations amp Demos
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
Ron PapanekManaging Director
Symbiont
B ndash Smart Contracts
What they are and what they mean for the Securities Industry
Speaker
Charles M PostHead of Legal Data Management amp Advisory
BNY Mellon
C ndash Panel Discussion Putting Blockchain Solutions into Production
Moderator
Michael J Alexander
255pm ndash 415pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 513
President Wealth amp Capital Markets Solutions
Broadridge Financial Solutions Inc
Panelists
John EvansSenior Investment Fintech Strategist Investment Management Group
Vanguard
Richard B LevinChair of the Financial Services Technology (FinTech) and Regulation Practice
Polsinelli PC
Ron PapanekManaging Director
Symbiont
Charles M PostHead of Legal Data Management amp Advisory
BNY Mellon
Networking Break
Sponsored by Polsinelli LLC
Fintech and the Future of the Securities Industry
What will the continuing adoption of fintech and future advances in analytics and
technology mean for the securities industry How will the role of securities firms evolve
and how will it affect the workforce of the future
Moderator
Sadia HalimManaging Director
BNP Paribas
Panelists
415pm ndash 430pm
430pm ndash 520pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 613
Amit GuptaManaging Director Capital Markets
Accenture
Brian LincolnWealth Management Solutions Lead Financial Markets
IBM
Vijay MayadasPresident Global Fixed Income and Analytics
Broadridge Financial Solutions Inc
Grainne McNamaraPrincipal Financial Services amp Banking and Capital Markets
PwC
Registration Desk Hours
Breakfast with Our Diamond Sponsors
Accenture
Session 1 Applying The New to Regulatory Change Management
Come and see the new technologies being applied to the regulatory change process to
drive operational efficiency and enhanced control as financial institutions continue to
develop a Compliance function fit for the digital age
Speaker Ben Shorten
Session 2 Blockchain Solution for Consolidated Audit Trail ndash Customer and Trade
Data Reconciliation and Regulatory Submission for CAT
This demonstration uses blockchain as an interface to provide shared common access
for broker-dealers with specific privileges to a single secure source of data The different
Networking Reception
520pm ndash 620pm
Thursday June 21 2018
800am ndash 115pm
800am ndash 900am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 713
actors can cross-check data with counterparties flawlessly removing the need for data
reconciliation prior to submitting trade order and reference information to the
regulators
Speaker Venetia Woo
Session 3 Introduction to Accenture Analytics Chatbot that Communicates with
Users Through Messaging Apps Chat Windows or Voice Using Natural Language
The Analytics Bot takes on the work of analyzing and interpreting large amounts of data
to answer business questions based on related transaction customer and other
enterprise data to support decision making The solution can also serve multiple
functions within the organization to help firms prevent cost leakage save on unwanted
expenses related to their resources efforts increase team productivity and improve
decision making and performance over a period of time
Speaker Aron Elston
Speakers
Ben ShortenCompliance Transformation Lead North America
Accenture
Venetia WooNorth American Regulatory Strategy Lead
Accenture
Aron ElstonNational Leader for Reg amp Compliance Analytics
Accenture
Broadridge Financial Solutions Inc
Blockchain Demo Deep Dive
Broadridge is creating a new bilateral repo environment using Distributed Ledger
Technology to facilitate seamless execution of repo trading and more effective use of
collateral This blockchain-enabled solution automates end-to-end processes
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 813
eliminating fails improving efficiency and reducing counterparty risk Come join us over
breakfast to get a deep dive of the demo and a chance to speak with our technologists
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
John GarahanVice President
Broadridge Financial Solutions Inc
Hrishikesh NashikkarBlockchain Lead
Broadridge Financial Solutions Inc
IBM
Transform Your Risk and Compliance Programs with Cognitive Solutions and
RegTech
This session will describe how RegTech is transforming the way compliance
departments operate allowing smaller teams to focus on higher-value activities shifting
them from information gatherers to information analyzers enabled by augmented
decision-making made possible through cognitive technologies Learn how financial
institutions can apply cognitive capabilities to meet ever-changing regulatory
expectations and radically reduce costs
Speaker
Judith PintoManaging Director
Promontory an IBM Company
Welcome Remarks
Speaker
910am ndash 915am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 913
Thomas F PriceManaging Director Technology Operations and Business Continuity
SIFMA
From Insight to Inspiration The Evolving Role of AI in Our Lives
Since the 2011 the ldquoAI Springrdquo has emerged and evolved rapidly Wersquove seen advances in
underlying analytic technologies practices and the application of AI to solving for a wide
range of problems However the AI industry is still in its infancy mdash both in terms of the
products and technologies on the market but also in terms of our understanding of its
full utility One of the key things that wersquore just beginning to fully grasp is the relationship
between people and AI technology mdash how the one is not replaced by the other but rather
by how AI augments and extends human intelligence In this talk I will outline the
evolutionary pressures that are driving further advances in AI technology and more
importantly the evolving role of AI in our lives
Speaker
Rob HighIBM Fellow Vice President and Chief Technology Officer
IBM Watson
AI ndash Machine Learning
This session will present the big-picture opportunities that artificial intelligence
technology presents Participants will view demos of examples of real-world application
and hear how market participants are operationalizing AI at their firms
A ndash Demo Arria
Explore the technology of natural language generation (NLG) and see a demo of how it
can be applied to enrich interactions with customers
Speaker
Riyaz NakhoodaHead of Market Strategy
915am ndash 935am
935am ndash 1030am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 3: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/3.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 313
Vice President Strategy and Business Development
Broadridge Financial Solutions Inc
IBM
Blockchain Consortium Governance and Operating Model
Blockchain technology has moved from pilot proof-of-concept phase to real use cases
Many early adopters have formed consortium and come under a network to leverage
blockchain among member participants They have overcome huge hurdles formed new
legal structures and mitigated risks to launch such networks However in order to truly
scale the network and derive intended benefits the governance and operating model
needs to be flushed out In this session yoursquoll hear how IBM is working with such
consortium to help institute a governance and operating model to better facilitate
interaction among member participants of the network
Speaker
Shyam NagarajanDirector of Global Blockchain Sales
IBM
Welcome Remarks
Speaker
Randy SnookExecutive Vice President Business Policies amp Practices
SIFMA
Regulator Perspective
Speaker
Beth KnickerbockerChief Innovation Officer
Office of the Comptroller of the Currency (OCC)
225pm ndash 230pm
230pm ndash 255pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 413
Blockchain Solutions
This session will explore how market participants are using Distributed Ledger
Technology (DLT) to advance innovation in the securities industry and will examine the
current state of DLT implementation Hear from firms that are moving their DLT projects
from the proof-of-concept phase into production as well as those planning to make the
transition in the near future This interactive session will include live demos
A ndash Solution Presentations amp Demos
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
Ron PapanekManaging Director
Symbiont
B ndash Smart Contracts
What they are and what they mean for the Securities Industry
Speaker
Charles M PostHead of Legal Data Management amp Advisory
BNY Mellon
C ndash Panel Discussion Putting Blockchain Solutions into Production
Moderator
Michael J Alexander
255pm ndash 415pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 513
President Wealth amp Capital Markets Solutions
Broadridge Financial Solutions Inc
Panelists
John EvansSenior Investment Fintech Strategist Investment Management Group
Vanguard
Richard B LevinChair of the Financial Services Technology (FinTech) and Regulation Practice
Polsinelli PC
Ron PapanekManaging Director
Symbiont
Charles M PostHead of Legal Data Management amp Advisory
BNY Mellon
Networking Break
Sponsored by Polsinelli LLC
Fintech and the Future of the Securities Industry
What will the continuing adoption of fintech and future advances in analytics and
technology mean for the securities industry How will the role of securities firms evolve
and how will it affect the workforce of the future
Moderator
Sadia HalimManaging Director
BNP Paribas
Panelists
415pm ndash 430pm
430pm ndash 520pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 613
Amit GuptaManaging Director Capital Markets
Accenture
Brian LincolnWealth Management Solutions Lead Financial Markets
IBM
Vijay MayadasPresident Global Fixed Income and Analytics
Broadridge Financial Solutions Inc
Grainne McNamaraPrincipal Financial Services amp Banking and Capital Markets
PwC
Registration Desk Hours
Breakfast with Our Diamond Sponsors
Accenture
Session 1 Applying The New to Regulatory Change Management
Come and see the new technologies being applied to the regulatory change process to
drive operational efficiency and enhanced control as financial institutions continue to
develop a Compliance function fit for the digital age
Speaker Ben Shorten
Session 2 Blockchain Solution for Consolidated Audit Trail ndash Customer and Trade
Data Reconciliation and Regulatory Submission for CAT
This demonstration uses blockchain as an interface to provide shared common access
for broker-dealers with specific privileges to a single secure source of data The different
Networking Reception
520pm ndash 620pm
Thursday June 21 2018
800am ndash 115pm
800am ndash 900am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 713
actors can cross-check data with counterparties flawlessly removing the need for data
reconciliation prior to submitting trade order and reference information to the
regulators
Speaker Venetia Woo
Session 3 Introduction to Accenture Analytics Chatbot that Communicates with
Users Through Messaging Apps Chat Windows or Voice Using Natural Language
The Analytics Bot takes on the work of analyzing and interpreting large amounts of data
to answer business questions based on related transaction customer and other
enterprise data to support decision making The solution can also serve multiple
functions within the organization to help firms prevent cost leakage save on unwanted
expenses related to their resources efforts increase team productivity and improve
decision making and performance over a period of time
Speaker Aron Elston
Speakers
Ben ShortenCompliance Transformation Lead North America
Accenture
Venetia WooNorth American Regulatory Strategy Lead
Accenture
Aron ElstonNational Leader for Reg amp Compliance Analytics
Accenture
Broadridge Financial Solutions Inc
Blockchain Demo Deep Dive
Broadridge is creating a new bilateral repo environment using Distributed Ledger
Technology to facilitate seamless execution of repo trading and more effective use of
collateral This blockchain-enabled solution automates end-to-end processes
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 813
eliminating fails improving efficiency and reducing counterparty risk Come join us over
breakfast to get a deep dive of the demo and a chance to speak with our technologists
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
John GarahanVice President
Broadridge Financial Solutions Inc
Hrishikesh NashikkarBlockchain Lead
Broadridge Financial Solutions Inc
IBM
Transform Your Risk and Compliance Programs with Cognitive Solutions and
RegTech
This session will describe how RegTech is transforming the way compliance
departments operate allowing smaller teams to focus on higher-value activities shifting
them from information gatherers to information analyzers enabled by augmented
decision-making made possible through cognitive technologies Learn how financial
institutions can apply cognitive capabilities to meet ever-changing regulatory
expectations and radically reduce costs
Speaker
Judith PintoManaging Director
Promontory an IBM Company
Welcome Remarks
Speaker
910am ndash 915am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 913
Thomas F PriceManaging Director Technology Operations and Business Continuity
SIFMA
From Insight to Inspiration The Evolving Role of AI in Our Lives
Since the 2011 the ldquoAI Springrdquo has emerged and evolved rapidly Wersquove seen advances in
underlying analytic technologies practices and the application of AI to solving for a wide
range of problems However the AI industry is still in its infancy mdash both in terms of the
products and technologies on the market but also in terms of our understanding of its
full utility One of the key things that wersquore just beginning to fully grasp is the relationship
between people and AI technology mdash how the one is not replaced by the other but rather
by how AI augments and extends human intelligence In this talk I will outline the
evolutionary pressures that are driving further advances in AI technology and more
importantly the evolving role of AI in our lives
Speaker
Rob HighIBM Fellow Vice President and Chief Technology Officer
IBM Watson
AI ndash Machine Learning
This session will present the big-picture opportunities that artificial intelligence
technology presents Participants will view demos of examples of real-world application
and hear how market participants are operationalizing AI at their firms
A ndash Demo Arria
Explore the technology of natural language generation (NLG) and see a demo of how it
can be applied to enrich interactions with customers
Speaker
Riyaz NakhoodaHead of Market Strategy
915am ndash 935am
935am ndash 1030am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 4: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/4.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 413
Blockchain Solutions
This session will explore how market participants are using Distributed Ledger
Technology (DLT) to advance innovation in the securities industry and will examine the
current state of DLT implementation Hear from firms that are moving their DLT projects
from the proof-of-concept phase into production as well as those planning to make the
transition in the near future This interactive session will include live demos
A ndash Solution Presentations amp Demos
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
Ron PapanekManaging Director
Symbiont
B ndash Smart Contracts
What they are and what they mean for the Securities Industry
Speaker
Charles M PostHead of Legal Data Management amp Advisory
BNY Mellon
C ndash Panel Discussion Putting Blockchain Solutions into Production
Moderator
Michael J Alexander
255pm ndash 415pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 513
President Wealth amp Capital Markets Solutions
Broadridge Financial Solutions Inc
Panelists
John EvansSenior Investment Fintech Strategist Investment Management Group
Vanguard
Richard B LevinChair of the Financial Services Technology (FinTech) and Regulation Practice
Polsinelli PC
Ron PapanekManaging Director
Symbiont
Charles M PostHead of Legal Data Management amp Advisory
BNY Mellon
Networking Break
Sponsored by Polsinelli LLC
Fintech and the Future of the Securities Industry
What will the continuing adoption of fintech and future advances in analytics and
technology mean for the securities industry How will the role of securities firms evolve
and how will it affect the workforce of the future
Moderator
Sadia HalimManaging Director
BNP Paribas
Panelists
415pm ndash 430pm
430pm ndash 520pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 613
Amit GuptaManaging Director Capital Markets
Accenture
Brian LincolnWealth Management Solutions Lead Financial Markets
IBM
Vijay MayadasPresident Global Fixed Income and Analytics
Broadridge Financial Solutions Inc
Grainne McNamaraPrincipal Financial Services amp Banking and Capital Markets
PwC
Registration Desk Hours
Breakfast with Our Diamond Sponsors
Accenture
Session 1 Applying The New to Regulatory Change Management
Come and see the new technologies being applied to the regulatory change process to
drive operational efficiency and enhanced control as financial institutions continue to
develop a Compliance function fit for the digital age
Speaker Ben Shorten
Session 2 Blockchain Solution for Consolidated Audit Trail ndash Customer and Trade
Data Reconciliation and Regulatory Submission for CAT
This demonstration uses blockchain as an interface to provide shared common access
for broker-dealers with specific privileges to a single secure source of data The different
Networking Reception
520pm ndash 620pm
Thursday June 21 2018
800am ndash 115pm
800am ndash 900am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 713
actors can cross-check data with counterparties flawlessly removing the need for data
reconciliation prior to submitting trade order and reference information to the
regulators
Speaker Venetia Woo
Session 3 Introduction to Accenture Analytics Chatbot that Communicates with
Users Through Messaging Apps Chat Windows or Voice Using Natural Language
The Analytics Bot takes on the work of analyzing and interpreting large amounts of data
to answer business questions based on related transaction customer and other
enterprise data to support decision making The solution can also serve multiple
functions within the organization to help firms prevent cost leakage save on unwanted
expenses related to their resources efforts increase team productivity and improve
decision making and performance over a period of time
Speaker Aron Elston
Speakers
Ben ShortenCompliance Transformation Lead North America
Accenture
Venetia WooNorth American Regulatory Strategy Lead
Accenture
Aron ElstonNational Leader for Reg amp Compliance Analytics
Accenture
Broadridge Financial Solutions Inc
Blockchain Demo Deep Dive
Broadridge is creating a new bilateral repo environment using Distributed Ledger
Technology to facilitate seamless execution of repo trading and more effective use of
collateral This blockchain-enabled solution automates end-to-end processes
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 813
eliminating fails improving efficiency and reducing counterparty risk Come join us over
breakfast to get a deep dive of the demo and a chance to speak with our technologists
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
John GarahanVice President
Broadridge Financial Solutions Inc
Hrishikesh NashikkarBlockchain Lead
Broadridge Financial Solutions Inc
IBM
Transform Your Risk and Compliance Programs with Cognitive Solutions and
RegTech
This session will describe how RegTech is transforming the way compliance
departments operate allowing smaller teams to focus on higher-value activities shifting
them from information gatherers to information analyzers enabled by augmented
decision-making made possible through cognitive technologies Learn how financial
institutions can apply cognitive capabilities to meet ever-changing regulatory
expectations and radically reduce costs
Speaker
Judith PintoManaging Director
Promontory an IBM Company
Welcome Remarks
Speaker
910am ndash 915am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 913
Thomas F PriceManaging Director Technology Operations and Business Continuity
SIFMA
From Insight to Inspiration The Evolving Role of AI in Our Lives
Since the 2011 the ldquoAI Springrdquo has emerged and evolved rapidly Wersquove seen advances in
underlying analytic technologies practices and the application of AI to solving for a wide
range of problems However the AI industry is still in its infancy mdash both in terms of the
products and technologies on the market but also in terms of our understanding of its
full utility One of the key things that wersquore just beginning to fully grasp is the relationship
between people and AI technology mdash how the one is not replaced by the other but rather
by how AI augments and extends human intelligence In this talk I will outline the
evolutionary pressures that are driving further advances in AI technology and more
importantly the evolving role of AI in our lives
Speaker
Rob HighIBM Fellow Vice President and Chief Technology Officer
IBM Watson
AI ndash Machine Learning
This session will present the big-picture opportunities that artificial intelligence
technology presents Participants will view demos of examples of real-world application
and hear how market participants are operationalizing AI at their firms
A ndash Demo Arria
Explore the technology of natural language generation (NLG) and see a demo of how it
can be applied to enrich interactions with customers
Speaker
Riyaz NakhoodaHead of Market Strategy
915am ndash 935am
935am ndash 1030am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 5: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/5.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 513
President Wealth amp Capital Markets Solutions
Broadridge Financial Solutions Inc
Panelists
John EvansSenior Investment Fintech Strategist Investment Management Group
Vanguard
Richard B LevinChair of the Financial Services Technology (FinTech) and Regulation Practice
Polsinelli PC
Ron PapanekManaging Director
Symbiont
Charles M PostHead of Legal Data Management amp Advisory
BNY Mellon
Networking Break
Sponsored by Polsinelli LLC
Fintech and the Future of the Securities Industry
What will the continuing adoption of fintech and future advances in analytics and
technology mean for the securities industry How will the role of securities firms evolve
and how will it affect the workforce of the future
Moderator
Sadia HalimManaging Director
BNP Paribas
Panelists
415pm ndash 430pm
430pm ndash 520pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 613
Amit GuptaManaging Director Capital Markets
Accenture
Brian LincolnWealth Management Solutions Lead Financial Markets
IBM
Vijay MayadasPresident Global Fixed Income and Analytics
Broadridge Financial Solutions Inc
Grainne McNamaraPrincipal Financial Services amp Banking and Capital Markets
PwC
Registration Desk Hours
Breakfast with Our Diamond Sponsors
Accenture
Session 1 Applying The New to Regulatory Change Management
Come and see the new technologies being applied to the regulatory change process to
drive operational efficiency and enhanced control as financial institutions continue to
develop a Compliance function fit for the digital age
Speaker Ben Shorten
Session 2 Blockchain Solution for Consolidated Audit Trail ndash Customer and Trade
Data Reconciliation and Regulatory Submission for CAT
This demonstration uses blockchain as an interface to provide shared common access
for broker-dealers with specific privileges to a single secure source of data The different
Networking Reception
520pm ndash 620pm
Thursday June 21 2018
800am ndash 115pm
800am ndash 900am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 713
actors can cross-check data with counterparties flawlessly removing the need for data
reconciliation prior to submitting trade order and reference information to the
regulators
Speaker Venetia Woo
Session 3 Introduction to Accenture Analytics Chatbot that Communicates with
Users Through Messaging Apps Chat Windows or Voice Using Natural Language
The Analytics Bot takes on the work of analyzing and interpreting large amounts of data
to answer business questions based on related transaction customer and other
enterprise data to support decision making The solution can also serve multiple
functions within the organization to help firms prevent cost leakage save on unwanted
expenses related to their resources efforts increase team productivity and improve
decision making and performance over a period of time
Speaker Aron Elston
Speakers
Ben ShortenCompliance Transformation Lead North America
Accenture
Venetia WooNorth American Regulatory Strategy Lead
Accenture
Aron ElstonNational Leader for Reg amp Compliance Analytics
Accenture
Broadridge Financial Solutions Inc
Blockchain Demo Deep Dive
Broadridge is creating a new bilateral repo environment using Distributed Ledger
Technology to facilitate seamless execution of repo trading and more effective use of
collateral This blockchain-enabled solution automates end-to-end processes
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 813
eliminating fails improving efficiency and reducing counterparty risk Come join us over
breakfast to get a deep dive of the demo and a chance to speak with our technologists
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
John GarahanVice President
Broadridge Financial Solutions Inc
Hrishikesh NashikkarBlockchain Lead
Broadridge Financial Solutions Inc
IBM
Transform Your Risk and Compliance Programs with Cognitive Solutions and
RegTech
This session will describe how RegTech is transforming the way compliance
departments operate allowing smaller teams to focus on higher-value activities shifting
them from information gatherers to information analyzers enabled by augmented
decision-making made possible through cognitive technologies Learn how financial
institutions can apply cognitive capabilities to meet ever-changing regulatory
expectations and radically reduce costs
Speaker
Judith PintoManaging Director
Promontory an IBM Company
Welcome Remarks
Speaker
910am ndash 915am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 913
Thomas F PriceManaging Director Technology Operations and Business Continuity
SIFMA
From Insight to Inspiration The Evolving Role of AI in Our Lives
Since the 2011 the ldquoAI Springrdquo has emerged and evolved rapidly Wersquove seen advances in
underlying analytic technologies practices and the application of AI to solving for a wide
range of problems However the AI industry is still in its infancy mdash both in terms of the
products and technologies on the market but also in terms of our understanding of its
full utility One of the key things that wersquore just beginning to fully grasp is the relationship
between people and AI technology mdash how the one is not replaced by the other but rather
by how AI augments and extends human intelligence In this talk I will outline the
evolutionary pressures that are driving further advances in AI technology and more
importantly the evolving role of AI in our lives
Speaker
Rob HighIBM Fellow Vice President and Chief Technology Officer
IBM Watson
AI ndash Machine Learning
This session will present the big-picture opportunities that artificial intelligence
technology presents Participants will view demos of examples of real-world application
and hear how market participants are operationalizing AI at their firms
A ndash Demo Arria
Explore the technology of natural language generation (NLG) and see a demo of how it
can be applied to enrich interactions with customers
Speaker
Riyaz NakhoodaHead of Market Strategy
915am ndash 935am
935am ndash 1030am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 6: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/6.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 613
Amit GuptaManaging Director Capital Markets
Accenture
Brian LincolnWealth Management Solutions Lead Financial Markets
IBM
Vijay MayadasPresident Global Fixed Income and Analytics
Broadridge Financial Solutions Inc
Grainne McNamaraPrincipal Financial Services amp Banking and Capital Markets
PwC
Registration Desk Hours
Breakfast with Our Diamond Sponsors
Accenture
Session 1 Applying The New to Regulatory Change Management
Come and see the new technologies being applied to the regulatory change process to
drive operational efficiency and enhanced control as financial institutions continue to
develop a Compliance function fit for the digital age
Speaker Ben Shorten
Session 2 Blockchain Solution for Consolidated Audit Trail ndash Customer and Trade
Data Reconciliation and Regulatory Submission for CAT
This demonstration uses blockchain as an interface to provide shared common access
for broker-dealers with specific privileges to a single secure source of data The different
Networking Reception
520pm ndash 620pm
Thursday June 21 2018
800am ndash 115pm
800am ndash 900am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 713
actors can cross-check data with counterparties flawlessly removing the need for data
reconciliation prior to submitting trade order and reference information to the
regulators
Speaker Venetia Woo
Session 3 Introduction to Accenture Analytics Chatbot that Communicates with
Users Through Messaging Apps Chat Windows or Voice Using Natural Language
The Analytics Bot takes on the work of analyzing and interpreting large amounts of data
to answer business questions based on related transaction customer and other
enterprise data to support decision making The solution can also serve multiple
functions within the organization to help firms prevent cost leakage save on unwanted
expenses related to their resources efforts increase team productivity and improve
decision making and performance over a period of time
Speaker Aron Elston
Speakers
Ben ShortenCompliance Transformation Lead North America
Accenture
Venetia WooNorth American Regulatory Strategy Lead
Accenture
Aron ElstonNational Leader for Reg amp Compliance Analytics
Accenture
Broadridge Financial Solutions Inc
Blockchain Demo Deep Dive
Broadridge is creating a new bilateral repo environment using Distributed Ledger
Technology to facilitate seamless execution of repo trading and more effective use of
collateral This blockchain-enabled solution automates end-to-end processes
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 813
eliminating fails improving efficiency and reducing counterparty risk Come join us over
breakfast to get a deep dive of the demo and a chance to speak with our technologists
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
John GarahanVice President
Broadridge Financial Solutions Inc
Hrishikesh NashikkarBlockchain Lead
Broadridge Financial Solutions Inc
IBM
Transform Your Risk and Compliance Programs with Cognitive Solutions and
RegTech
This session will describe how RegTech is transforming the way compliance
departments operate allowing smaller teams to focus on higher-value activities shifting
them from information gatherers to information analyzers enabled by augmented
decision-making made possible through cognitive technologies Learn how financial
institutions can apply cognitive capabilities to meet ever-changing regulatory
expectations and radically reduce costs
Speaker
Judith PintoManaging Director
Promontory an IBM Company
Welcome Remarks
Speaker
910am ndash 915am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 913
Thomas F PriceManaging Director Technology Operations and Business Continuity
SIFMA
From Insight to Inspiration The Evolving Role of AI in Our Lives
Since the 2011 the ldquoAI Springrdquo has emerged and evolved rapidly Wersquove seen advances in
underlying analytic technologies practices and the application of AI to solving for a wide
range of problems However the AI industry is still in its infancy mdash both in terms of the
products and technologies on the market but also in terms of our understanding of its
full utility One of the key things that wersquore just beginning to fully grasp is the relationship
between people and AI technology mdash how the one is not replaced by the other but rather
by how AI augments and extends human intelligence In this talk I will outline the
evolutionary pressures that are driving further advances in AI technology and more
importantly the evolving role of AI in our lives
Speaker
Rob HighIBM Fellow Vice President and Chief Technology Officer
IBM Watson
AI ndash Machine Learning
This session will present the big-picture opportunities that artificial intelligence
technology presents Participants will view demos of examples of real-world application
and hear how market participants are operationalizing AI at their firms
A ndash Demo Arria
Explore the technology of natural language generation (NLG) and see a demo of how it
can be applied to enrich interactions with customers
Speaker
Riyaz NakhoodaHead of Market Strategy
915am ndash 935am
935am ndash 1030am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 7: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/7.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 713
actors can cross-check data with counterparties flawlessly removing the need for data
reconciliation prior to submitting trade order and reference information to the
regulators
Speaker Venetia Woo
Session 3 Introduction to Accenture Analytics Chatbot that Communicates with
Users Through Messaging Apps Chat Windows or Voice Using Natural Language
The Analytics Bot takes on the work of analyzing and interpreting large amounts of data
to answer business questions based on related transaction customer and other
enterprise data to support decision making The solution can also serve multiple
functions within the organization to help firms prevent cost leakage save on unwanted
expenses related to their resources efforts increase team productivity and improve
decision making and performance over a period of time
Speaker Aron Elston
Speakers
Ben ShortenCompliance Transformation Lead North America
Accenture
Venetia WooNorth American Regulatory Strategy Lead
Accenture
Aron ElstonNational Leader for Reg amp Compliance Analytics
Accenture
Broadridge Financial Solutions Inc
Blockchain Demo Deep Dive
Broadridge is creating a new bilateral repo environment using Distributed Ledger
Technology to facilitate seamless execution of repo trading and more effective use of
collateral This blockchain-enabled solution automates end-to-end processes
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 813
eliminating fails improving efficiency and reducing counterparty risk Come join us over
breakfast to get a deep dive of the demo and a chance to speak with our technologists
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
John GarahanVice President
Broadridge Financial Solutions Inc
Hrishikesh NashikkarBlockchain Lead
Broadridge Financial Solutions Inc
IBM
Transform Your Risk and Compliance Programs with Cognitive Solutions and
RegTech
This session will describe how RegTech is transforming the way compliance
departments operate allowing smaller teams to focus on higher-value activities shifting
them from information gatherers to information analyzers enabled by augmented
decision-making made possible through cognitive technologies Learn how financial
institutions can apply cognitive capabilities to meet ever-changing regulatory
expectations and radically reduce costs
Speaker
Judith PintoManaging Director
Promontory an IBM Company
Welcome Remarks
Speaker
910am ndash 915am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 913
Thomas F PriceManaging Director Technology Operations and Business Continuity
SIFMA
From Insight to Inspiration The Evolving Role of AI in Our Lives
Since the 2011 the ldquoAI Springrdquo has emerged and evolved rapidly Wersquove seen advances in
underlying analytic technologies practices and the application of AI to solving for a wide
range of problems However the AI industry is still in its infancy mdash both in terms of the
products and technologies on the market but also in terms of our understanding of its
full utility One of the key things that wersquore just beginning to fully grasp is the relationship
between people and AI technology mdash how the one is not replaced by the other but rather
by how AI augments and extends human intelligence In this talk I will outline the
evolutionary pressures that are driving further advances in AI technology and more
importantly the evolving role of AI in our lives
Speaker
Rob HighIBM Fellow Vice President and Chief Technology Officer
IBM Watson
AI ndash Machine Learning
This session will present the big-picture opportunities that artificial intelligence
technology presents Participants will view demos of examples of real-world application
and hear how market participants are operationalizing AI at their firms
A ndash Demo Arria
Explore the technology of natural language generation (NLG) and see a demo of how it
can be applied to enrich interactions with customers
Speaker
Riyaz NakhoodaHead of Market Strategy
915am ndash 935am
935am ndash 1030am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 8: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/8.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 813
eliminating fails improving efficiency and reducing counterparty risk Come join us over
breakfast to get a deep dive of the demo and a chance to speak with our technologists
Speakers
Horacio BarakatVice President of Corporate Strategy
Broadridge Financial Solutions Inc
John GarahanVice President
Broadridge Financial Solutions Inc
Hrishikesh NashikkarBlockchain Lead
Broadridge Financial Solutions Inc
IBM
Transform Your Risk and Compliance Programs with Cognitive Solutions and
RegTech
This session will describe how RegTech is transforming the way compliance
departments operate allowing smaller teams to focus on higher-value activities shifting
them from information gatherers to information analyzers enabled by augmented
decision-making made possible through cognitive technologies Learn how financial
institutions can apply cognitive capabilities to meet ever-changing regulatory
expectations and radically reduce costs
Speaker
Judith PintoManaging Director
Promontory an IBM Company
Welcome Remarks
Speaker
910am ndash 915am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 913
Thomas F PriceManaging Director Technology Operations and Business Continuity
SIFMA
From Insight to Inspiration The Evolving Role of AI in Our Lives
Since the 2011 the ldquoAI Springrdquo has emerged and evolved rapidly Wersquove seen advances in
underlying analytic technologies practices and the application of AI to solving for a wide
range of problems However the AI industry is still in its infancy mdash both in terms of the
products and technologies on the market but also in terms of our understanding of its
full utility One of the key things that wersquore just beginning to fully grasp is the relationship
between people and AI technology mdash how the one is not replaced by the other but rather
by how AI augments and extends human intelligence In this talk I will outline the
evolutionary pressures that are driving further advances in AI technology and more
importantly the evolving role of AI in our lives
Speaker
Rob HighIBM Fellow Vice President and Chief Technology Officer
IBM Watson
AI ndash Machine Learning
This session will present the big-picture opportunities that artificial intelligence
technology presents Participants will view demos of examples of real-world application
and hear how market participants are operationalizing AI at their firms
A ndash Demo Arria
Explore the technology of natural language generation (NLG) and see a demo of how it
can be applied to enrich interactions with customers
Speaker
Riyaz NakhoodaHead of Market Strategy
915am ndash 935am
935am ndash 1030am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 9: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/9.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 913
Thomas F PriceManaging Director Technology Operations and Business Continuity
SIFMA
From Insight to Inspiration The Evolving Role of AI in Our Lives
Since the 2011 the ldquoAI Springrdquo has emerged and evolved rapidly Wersquove seen advances in
underlying analytic technologies practices and the application of AI to solving for a wide
range of problems However the AI industry is still in its infancy mdash both in terms of the
products and technologies on the market but also in terms of our understanding of its
full utility One of the key things that wersquore just beginning to fully grasp is the relationship
between people and AI technology mdash how the one is not replaced by the other but rather
by how AI augments and extends human intelligence In this talk I will outline the
evolutionary pressures that are driving further advances in AI technology and more
importantly the evolving role of AI in our lives
Speaker
Rob HighIBM Fellow Vice President and Chief Technology Officer
IBM Watson
AI ndash Machine Learning
This session will present the big-picture opportunities that artificial intelligence
technology presents Participants will view demos of examples of real-world application
and hear how market participants are operationalizing AI at their firms
A ndash Demo Arria
Explore the technology of natural language generation (NLG) and see a demo of how it
can be applied to enrich interactions with customers
Speaker
Riyaz NakhoodaHead of Market Strategy
915am ndash 935am
935am ndash 1030am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 10: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/10.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1013
Arria NLG
B ndash Demo Accern
Explore predictive analytics and see a demo of how it can used to transform analysis of
news and market events
Speaker
Kumesh AroomooganCo-founder and CEO
Accern
C ndash Demo BNP Paribas
Explore how the Innovation lab approached a concrete AI use case streamlining the
validation of scanned documents from the identification exploration and learning to
fast prototyping towards a solution
Speaker
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
D ndash Panel Discussion
Moderator
Akhilesh TripathiVice President and Head of Global Sales for Software Products amp Platforms
Tata Consultancy Services
Panelists
Martin CaupinHead of Innovation ndash Analytics Lab
BNP Paribas
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
![Page 11: xoSGlµ R>oF`oµoR>oµ `]]p^SG>oKlµvSoR · GGK^opkK.KllS`^µ ¶hh\xS^Qµ0RKµ Kvµo`µ-KQp\>o`kxµ R>^QKµ >^>QK]K^o `] ... h\S>^GKµ0k>^lP`k]>oS`^µ K>I µ `koRµ]KkSG> GGK^opkK](https://reader042.fdocuments.us/reader042/viewer/2022041200/5d3b21e788c99322128df645/html5/page/11.jpg)
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1113
Rob StanichOffering Manager for Financial Markets and Banking
IBM Watson Financial Services
Joseph VoylesDirector
PwC
Networking Break
Risk Management and Compliance for Emerging Technologies
This session will describe how to develop a risk oversight and control framework around
applications of emerging technologies such as the cloud and robotics process
automation Panelists will also discuss the issues related to ldquoShadow Infrastructurerdquo
and regulatory challenges associated with concentrated tech providers Participants will
receive insight into how firms can effectively integrate start-ups and their technology
into large highly regulated organizations ndash including how to manage the impact of big
data
Moderator
Christopher B KillianManaging Director Securitization and Corporate Credit
SIFMA
Panelists
Jennifer KlassPartner
Morgan Lewis amp Bockius LLP
Stefan DickerVice President Rise FinTech Platform Lead
Barclays
Gary NicholsManaging Director Security Design amp Engineering Schwab Cybersecurity Services
Charles Schwab
1030am ndash 1050am
1050am ndash 1145am
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
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492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1213
Regulation and Innovation
How can American regulation and supervision support fintech Panelists will discuss
SIFMArsquos policy recommendations and response to the US Department of the Treasuryrsquos
review of the financial regulatory framework explore what works internationally and
debate regulatory considerations for overseeing innovation in the capital markets
Moderator
Jai MassariPartner
Davis Polk amp Wardwell LLP
Panelists
Elijah AlperAssistant General Counsel
Capital One
Michael HerskovitzSenior Vice President amp Partner Co-Head Global Operations and Technology
AB
Jessica RenierSenior Advisor
US Department of the Treasury
Andres Wolberg-StokGlobal Head of Fintech Policy for Global Consumer Banking
Citi
Keynote Speaker Craig Phillips Counselor to the Secretary US Department of the Treasury
Speaker
Craig PhillipsCounselor to the Secretary
US Department of the Treasury
1145am ndash 1245pm
1245pm ndash 115pm
492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
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492019 Fintech Conference - Fintech Conference - SIFMA
httpswwwsifmaorgeventfintechsessions 1313
Conference Adjourns
115pm ndash 115pm
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