NASAA 2020 Fintech and Cybersecurity Symposium

The 2020 NASAA Fintech and Cybersecurity Symposium is a half-day event that will gather professionals from the fintech and cybersecurity industries, regulation, and higher education to discuss issues related to fintech and cybersecurity.  Attendees will hear presentations and panel discussions pertaining to the impact of artificial intelligence (AI) and machine learning on the worlds of Fintech and Cybersecurity and how AI is used by both the perpetrators of cyber threats as well as those defending against them. We will also discuss the how all these topics add to the challenges of regulating remotely during the COVID-19 pandemic, including conducting exams and detecting and prosecuting fraud from afar.  Register now to join us for this great day of learning.

1:00 -1:10 p.m.
Opening Remarks

Lisa Hopkins, General Counsel and Senior Deputy Commissioner of Securities, West Virginia Securities Commission and NASAA President

1:15-1:35 p.m.
Keynote Speaker
Kavita Jain, Deputy Associate Director, Innovation Policy, Federal Reserve Board

1:40-2:35 p.m.
Algorithms Make the World Go ‘Round
Fintech advances have made it possible tackle difficult consumer and investor problems that traditional banking and finance have been unable to address. From financial inclusion to money distribution during the pandemic, this panel will explore the ways fintech innovation can solve real-world problems.
Moderator: James McDowell, Alabama Securities Commission
Usman Ahmed, Head of Global Policy and Research, PayPal; Daniel Gorfine, Founder & CEO, Gattaca Horizons LLC; Shawnna Hoffman, Global Blockchain Offering Leader, IBM Watson Health

2:40-3:25 p.m.
From Sentiment Investing to Roboadvising: How AI is Transforming the Financial Services Industry
Artificial intelligence and machine learning are both being widely deployed in the financial services field. This panel will focus on how financial institutions are using AI, machine learning, data analytics and predictive behavior to better serve investors, for example, through robo-advisors and financial risk management.
Moderator:  Amanda Senn, Chief Deputy Director & General Counsel, Alabama Securities Commission
Panelists: Diem-Mi Lu, Senior Policy Adviser & Legislative Counsel for U.S. Representative Bill Foster (D-IL); Jake van der Laan, New Brunswick Financial and Consumer Services Commission; Haime Workie, Head of Financial Innovation and Senior Director, Office of Financial Innovation, FINRA

3:30-4:15 p.m.
Technology as Sword and Shield
Artificial intelligence, machine learning, and other emerging technology are useful tools in providing and regulating financial services. But in the wrong hands, they can disrupt and destroy. This panel will focus on how technology can be used both to perpetrate and defend against cyberattacks, especially in a teleworking environment, and the consequences of failing to fortify the workspace. 
Justice Rillera, Enforcement Officer/Staff Attorney, Oregon Division of  Financial Regulation
Panelists: Ruth Hill Bro, Cybersecurity Lawyer and Co-Chair of the American Bar Association Cybersecurity Legal Task Force; John Beccia, Co-Founder and CEO, FS Vector; Steve Wu, Shareholder with Silicon Valley Law Group

4:20-5:05 p.m.
Regulating Remotely: Cyber Challenges During a Challenging Time
This panel will feature three speakers who will each provide a different perspective on regulatory and cybersecurity challenges in the wake of the Covid-19 pandemic.  First, David Kelley of FINRA will describe FINRA's response to the pandemic, common pitfalls for remote regulators, and advice for adapting to virtual regulation.  Next, Tonya Evans, visiting professor of law at Pennsylvania State University Dickinson Law will share recent FinTech developments and regulatory concerns arising from the new normal.  Finally, Dr. Lorrie Cranor, Professor of Computer Science and Public Policy at Carnegie Mellon University, will discuss cybersecurity threats facing regulators and investment professionals and provide practical advice for keeping sensitive data secure while regulating remotely.  
Moderator: Katherine Devanney, Deputy Attorney General , Delaware Investor Protection Unit 
Panelists: Dr. Lorrie Cranor, Professor, Carnegie Mellon University in Computer Science and Engineering & Public Policy; Dave Kelley, Director, Member Supervision Specialist Programs - Cybersecurity, FINRA, Kansas City District Office, Tonya Evans, Visiting Full Professor of Law, Dickinson Law Penn State University

5:05 p.m.
Closing Remarks
Lisa Hopkins, General Counsel and Senior Deputy Commissioner of Securities, West Virginia Securities Commission and NASAA President

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