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.
- Introductory Background on Fintech
- Fintech Ecosystem
- Emerging Technologies (Big Data, AI, DLT)
- Institutional Adoption of Emerging Technology
- Future landscape of RegTech
- Sandboxes (What are they?)
- New Developments
Who Should Attend?
- Regulatory professionals
- 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
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 (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.).