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A Deep Dive Into RegTech

Event Description

​A Deep Dive Into RegTech


What are the potential benefits and risks new financial technologies present to investors, broker/dealers, and the securities market? How have RegTech tools changed the landscape for compliance? What are the implications?

On May 8, 2019, please join us, at the new CFA Society Washington, DC office, as Jackson Mueller, Associate Director at the Milken Institute and Haimera (Haime) Workie, FINRA Senior Director Emerging Regulatory Issues present on the new developments and industry impacts of RegTech.

Learning Objectives:
  1. Introductory Background on Fintech
  2. Fintech Ecosystem
  3. Emerging Technologies (Big Data, AI, DLT)
  4. Institutional Adoption of Emerging Technology
  5. Future landscape of RegTech
  6. Sandboxes (What are they?)
  7. ​New Developments

Who Should Attend?
  • Regulatory professionals
  • CIOs
  • Anyone interested in Fintech or RegTech
  • Investment professionals.
  • Portfolio Managers.
  • Emerging Market professionals
  • Risk Management and Strategic Asset Allocation professionals.
  • Anyone with a 401K, IRA or Pension plan.
  • Policy Professionals

Jackson Mueller.jpg
Jackson Mueller
Associate Director, Center for Financial Markets

Jackson Mueller is an associate director at the Milken Institute's Center for Financial Markets. He focuses on fintech, capital formation policy and financial markets education initiatives. Prior to joining the Institute, Mueller was an assistant vice president at the Securities Industry and Financial Markets Association (SIFMA), where he focused on a broad range of financial services-related policies, provided legislative and regulatory updates to executive-level government relations staff, and conducted analysis of key issues relevant to SIFMA's members. He received his bachelor's degree in political science from the University of Richmond and a master's degree in public policy from American University. He works at the Institute's Washington, D.C. office.

Haimera Workie.jpg
Haimera (Haime) Workie
Senior Director, FINRA Office of Emerging Regulatory Issues

Haimera Workie is a Senior Director responsible for heading up FINRA’s Office of Emerging Regulatory Issues, which focuses on analyzing new and emerging risks and trends related to the securities market. As part of these responsibilities, Mr. Workie leads FINRA’s Innovation Outreach Initiative which is designed to foster an ongoing dialogue with market participants in order to build a better understanding of financial technology (FinTech) innovations and their impact on the securities markets.  Previously, Mr. Workie served as Deputy Associate Director in the Division of Trading and Markets at the U.S. Securities and Exchange Commission. Mr. Workie also previously served as Counsel to SEC Chair Mary Schapiro. Prior to joining the SEC, he was an associate at the law firm of Skadden, Arps, Slate, Meagher & Flom, with a practice focusing on corporate law. He is a graduate of the Massachusetts Institute of Technology (B.S., M.S.) and Harvard Law School (J.D.).

Event Type


Education Topic

Leadership, Management, and Communication Skills; Risk Management; Standards, Ethics, and Regulations

Start Time

5/8/2019 12:00 PM

End Time

5/8/2019 2:00 PM





Event Country


Event Region


Location Info

CFA Society Washington, DC​
1401 New York Ave NW.
Washington, DC 20005

Click here for map

Metro: McPherson Square (Blue, Orange, and Silver lines) and Metro Center (Blue, Orange, Red and Silver lines)

**When you enter into the building, please show a photo ID to security and take the elevator to B2.



CE Credits


SER Credit




Member Price


Non-Member Price


Candidate Price



​Registration is closed.
Discounts/Refund Policy
Group Discount:
Organizations are eligible for a 10% discount when registering three or more people for an event. All registrations must be received at the same time. Email all discount registrations together to​.
Cancellations, Substitution, and Refund Requests
  • Substitutions are welcome at any time
  • Cancelations must be made in writing and emailed to events@cfawashington.or​g​​​ on or before 5 business days prior to the event
  • No refunds will be processed after 5 pm ET, 5 business days prior to the event
  • A $25 administrative fee will be applied to all cancellations
  • Refunds will not be issued for no shows ​​

All Day Event











5/8/2019 12:00 PM


Content Type: MyCFA Calendar
Version: 1.0
Created at 4/3/2019 7:02 AM by[CASMSTS:username]
Last modified at 5/8/2019 5:57 AM by[CASMSTS:username]