SEC Roundtable on Artificial Intelligence in the Financial Industry
The SEC Roundtable on Artificial Intelligence in the Financial Industry is a comprehensive event organized by the U.S. Securities and Exchange Commission (SEC). This roundtable aims to explore the integration of artificial intelligence (AI) within the financial sector, focusing on its associated risks, benefits, and governance structures. The event features opening remarks from SEC Acting Chairman Mark Uyeda and Commissioners Hester Peirce and Caroline Crenshaw.
The agenda includes several key panels: "The Benefits, Costs, and Uses of AI in the Financial Industry," "Fraud, Authentication, and Cybersecurity," "AI Governance and Risk Management," and "What’s Next/Future Trends." Each panel comprises industry experts and academics who provide insights into the current and future applications of AI in finance, addressing topics such as operational efficiencies, fraud prevention, regulatory compliance, and emerging trends.
Attendees have the opportunity to engage with leading professionals from organizations like JP Morgan Chase, Nasdaq, FINRA, and the University of Michigan. The event also includes networking sessions and discussions on AI's role in enhancing investor interactions and regulatory oversight.
This roundtable is ideal for financial industry professionals, regulators, technologists, and academics interested in understanding the evolving landscape of AI in finance. Participants will gain valuable knowledge on AI's impact on market dynamics, risk management, and regulatory frameworks, equipping them to navigate and leverage AI technologies effectively in their respective fields.
Speakers(25)
Alexander Leblang
Office of Cybersecurity and Critical Infrastructure Protection at Department of Treasury
Alexander Leblang works in the Office of Cybersecurity and Critical Infrastructure Protection at the Department of Treasury, focusing on national security and infrastructure protection.
Alexis Hall
Moderator, Division of Examinations at U.S. Securities and Exchange Commission
Alexis Hall is a moderator from the Division of Examinations at the SEC, overseeing discussions on compliance and regulatory examinations.
Brad Ahrens
Senior Vice President of Advanced Analytics at FINRA
Brad Ahrens is the Senior Vice President of Advanced Analytics at FINRA, leading efforts in data analysis and regulatory oversight.
Caroline Crenshaw
Commissioner at U.S. Securities and Exchange Commission
Caroline Crenshaw is a Commissioner at the U.S. Securities and Exchange Commission, focusing on investor protection and market integrity.
Conan French
Director of Digital Finance at Institute of International Finance
Conan French is the Director of Digital Finance at the Institute of International Finance, specializing in digital transformation and financial innovation.
Daniel Pateiro
Managing Director, Office of Chief Operating Officer, Strategic Initiatives/Artificial Intelligence at BlackRock
Daniel Pateiro is a Managing Director at BlackRock, focusing on strategic initiatives and the integration of artificial intelligence within the firm.
Douglas Hamilton
Head of AI Engineering and Research at Nasdaq
Douglas Hamilton leads AI Engineering and Research at Nasdaq, driving innovation in artificial intelligence applications for financial markets.
Gregg Berman
Director of Market Analytics and Regulatory Structure at Citadel Securities
Gregg Berman is the Director of Market Analytics and Regulatory Structure at Citadel Securities, focusing on market analysis and regulatory compliance.
Hardeep Walia
Managing Director, Head of AI & Personalization at Charles Schwab
Hardeep Walia is the Managing Director and Head of AI & Personalization at Charles Schwab, leading initiatives in artificial intelligence and client personalization.
Hester M. Peirce
Commissioner at U.S. Securities and Exchange Commission
Hester Peirce serves as a Commissioner at the U.S. Securities and Exchange Commission, contributing to policy development and regulatory oversight.
Hillary Allen
Professor of Law at American University, Washington College of Law
Hillary Allen is a Professor of Law at American University, specializing in financial regulation and the legal implications of emerging technologies.
Jeff McMillan
Head of Firmwide Artificial Intelligence at Morgan Stanley
Jeff McMillan leads Firmwide Artificial Intelligence at Morgan Stanley, overseeing the development and implementation of AI strategies across the firm.
Johnna Powell
Managing Director and Head of Technology, Research and Innovation at The Depository Trust and Clearing Corporation
Johnna Powell is the Managing Director and Head of Technology, Research and Innovation at The Depository Trust and Clearing Corporation, focusing on technological advancements in financial services.
Kristen McCooey
Chief Information Security Officer at Edward Jones
Kristen McCooey serves as the Chief Information Security Officer at Edward Jones, overseeing the firm's information security strategies.
Marco Enriquez
Moderator, Division of Economic and Risk Analysis at U.S. Securities and Exchange Commission
Marco Enriquez is a moderator from the Division of Economic and Risk Analysis at the SEC, facilitating discussions on economic trends and risk assessment.
Mark Uyeda
Acting Chairman at U.S. Securities and Exchange Commission
Mark Uyeda is the Acting Chairman of the U.S. Securities and Exchange Commission, overseeing the agency's efforts to regulate and protect investors in the financial markets.
Michael Wellman
Professor of Computer Science & Engineering at University of Michigan
Michael Wellman is a Professor at the University of Michigan, specializing in computer science and engineering with a focus on artificial intelligence.
Mike Kelly
Head of Strategic AI Governance and Enablement at JP Morgan Chase & Co.
Mike Kelly leads the Strategic AI Governance and Enablement at JP Morgan Chase & Co., overseeing the integration and oversight of AI technologies within the organization.
Peter Slattery
MIT FutureTech at MIT FutureTech
Peter Slattery is associated with MIT FutureTech, focusing on emerging technologies and their applications in various industries.
Rob Hegarty
Moderator, Division of Trading and Markets at U.S. Securities and Exchange Commission
Rob Hegarty is a moderator from the Division of Trading and Markets at the SEC, facilitating discussions on market structure and trading practices.
Ryan Swann
Chief Data Analytics Officer at The Vanguard Group, Inc.
Ryan Swann serves as the Chief Data Analytics Officer at The Vanguard Group, Inc., leading data analytics initiatives to enhance investment strategies.
Sarah Hammer
Executive Director, Wharton School; Adjunct Professor, University of Pennsylvania Law School; CEO of Wharton Cypher Accelerator at Wharton School
Sarah Hammer is the Executive Director at the Wharton School, an Adjunct Professor at the University of Pennsylvania Law School, and CEO of the Wharton Cypher Accelerator, specializing in financial regulation and innovation.
Scott Mullins
Managing Director, Worldwide Financial Services Industry at Amazon Web Services
Scott Mullins is the Managing Director for the Worldwide Financial Services Industry at Amazon Web Services, focusing on cloud solutions for financial institutions.
Tyler Derr
Chief Technology and Product Officer at Broadridge
Tyler Derr serves as the Chief Technology and Product Officer at Broadridge, overseeing technology strategy and product development.
Valerie Szczepanik
Moderator, Strategic Hub for Innovation and Financial Technology at U.S. Securities and Exchange Commission
Valerie Szczepanik is a moderator from the SEC's Strategic Hub for Innovation and Financial Technology, facilitating discussions on fintech and innovation.
Event Details
- Date
- April 25, 2023
- Location
- 🇺🇸 Washington, United States
- U.S. Securities and Exchange Commission Headquarters
- Pricing
- Free
- Audience
- Financial industry professionals, regulators, technologists, academics
- Attendees
- Not specified