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Dialogue with the Regulators:
Navigating Blockchain & Fintech

Dialogue with the Regulators: Navigating Blockchain & Fintech unlocks the critical partnerships between the financial services industry, solution providers, key industry leaders, and regulators leveraging technology to drive innovation and regulatory change.

At the forefront of revolutionary changes in fintech and regtech is blockchain technology. Worldwide spending on blockchain solutions alone is expected to grow from $1.5 billion in 2018 to an estimated $11.7 billion by 2022 with the financial sector accounting for over 60 percent of the market value of blockchain worldwide (Statista). As overall fintech solutions evolve, the regulatory landscape will face enormous challenges in keeping up with technology disruption.

The forum brings together the fintech ecosystem for an intimate and productive dialogue focusing on collaborative and innovative approaches towards building a robust financial and regulatory compliant environment.

Panel Discussions

Fintech Impact on US & Global Payments Systems & Alt Currencies

  • Digital payment vulnerabilities- transaction laundering, buyer/seller collusion, synthetic identity fraud, terrorist financing, and cybersecurity risks
  • Legal and compliance considerations-state and federal consumer protection laws, anti-money laundering laws, state money transmitter licensing laws

Blockchain & Digital Assets

  • Top concerns for compliance leaders in financial institutions on regtech adoption- issuance, investor onboarding, KYC/AML, custody issues, secondary trading
  • Digital securities offerings (DSOs) and cryptocurrency governance challenges

Dialogue with the Regulators: Innovation & Regulation

  • Top concerns for compliance leaders in financial institutions on regtech adoption- issuance, investor onboarding, KYC/AML, custody issues, secondary trading
  • Digital securities offerings (DSOs) and cryptocurrency governance challenges
Time & Location
5 November 2019
Times Square, New York
3:30pm- 8:30pm EST
Featured Participants
Senior regulators from the SEC, FINRA, & CFPB, along with key industry thought leaders, fintech and regtech solution providers
Media Partners
Secondary trading solution
Secondary trading solution
More TBA
Stay Connected
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Speakers

Chairperson

AmyPoster
Amy Poster

Risk and Regulatory Lead
Globex

John O. Enright

SEC

John O. Enright

Assistant Director in the Division of Enforcement.

Daphna A. Waxman

SEC

Daphna A. Waxman

Senior Attorney in the Division of Enforcement

Alex Khachaturian

FINRA

Alex Khachaturian

Director in FINRA’s Office of Financial Innovation (OFI)

William Wade-Gery

CFPB

William Wade-Gery

Senior Advisor in the Office of Innovation

Mark Elenowitz
Mark Elenowitz

CEO TriPoint Global Equities
TriPoint Global Equities

Richard Friedman
Richard Friedman

Partner
Sheppard Mullin

Jeff Horowitz
Jeff Horowitz

Chief Regulatory Officer
Coinbase

Yusuf Hussain
Yusuf Hussain

Head of Risk
Gemini

Jodi Jamison
Jodi Jamison

Chief Regulatory Officer
ETC

Vlad Khandros
Vlad Khandros

Global Head of Market Structure and Liquidity Strategy
UBS

Morris Marshburn
Morris Marshburn

National Leader, Specialty Finance
RSM

Vince L. Martinez
Vince L. Martinez

Partner
K&L Gates

Joseph Rotunda
Joseph Rotunda

Director, Enforcement Division
Texas State Securities Board

F. Jim Della Sala
F. Jim Della Sala

Group Vice President
Wilmington Trust

Jay Schulman
Jay Schulman

Principal, Risk Consulting
RSM

Howard Shain
Howard Shain

Senior Director, Risk Consulting
RSM

Kathy Tomasofsky
Kathy Tomasofsky

Executive Director
MSBA

Kristen Walters
Kristen Walters

Global Chief Operating Officer of BlackRock's Risk & Quantitative Analysis Group
Blackrock

Andrew Yeung
Andrew Yeung

General Counsel Paxful
Paxful

Sponsors


Platinum Sponsors

Sheppard_mullin

Gold Sponsors

Wilmington

Silver Sponsors

Sheppard_mullin
Sheppard_mullin

Join the Dialogue, Request an Invite.

For more information, partnership, or sponsorship opportunities, please fill out the form or reach us at horizon@horizon-globex.com

Please note that this event is designed for C-Level Executives and blockchain & fintech industry leaders. This is a private event with a very limited amount of tickets. If approved, we will send you a link to the registration page.

At the regulators' request, no press will be allowed to attend.

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