SEC Announces Agenda, Panelists For Roundtable On Artificial Intelligence

The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry.

“I look forward to hearing from the panelists on how emerging technologies, such as artificial intelligence, can both improve the cost-effectiveness of the Commission’s regulations and provide additional value to market participants,” said SEC Acting Chairman Mark T. Uyeda. “I encourage members of the public to provide data and other evidence on how artificial intelligence can be used to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.”

The roundtable, announced in February, will be held at the SEC's headquarters at 100 F Street, N.E., Washington, D.C. from 9:00 a.m. – 4:15 p.m. The event will be open to the public and webcast live on the SEC’s website. Doors will open at 8:00 a.m.

For online attendance, no registration is necessary. A link to watch the event will be available on March 27 on www.sec.gov. Please register for in-person attendance.

More information, including how to submit feedback on artificial intelligence in the financial industry, is available on the SEC Artificial Intelligence Roundtable’s event page.

Agenda

8:00 am	Doors Open
9:00 am – 9:30 am	Opening Remarks from Acting Chairman Mark Uyeda, Commissioner Hester Peirce, and Commissioner Caroline Crenshaw
9:30 am – 10:45 am	Panel: The Benefits, Costs, and Uses of AI in the Financial Industry Moderator: Rob Hegarty, Division of Trading and Markets Panelists: Mike Kelly, Head of Strategic AI Governance and Enablement, JP Morgan Chase & Co. Gregg Berman, Director of Market Analytics and Regulatory Structure, Citadel Securities Douglas Hamilton, Head of AI Engineering and Research, Nasdaq Hillary Allen, Professor of Law, American University, Washington College of Law Daniel Pateiro, Managing Director, Office of Chief Operating Officer, Strategic Initiatives/Artificial Intelligence, BlackRock
10:45 am – 11:00 am	Break
11:00 am – 12:15 pm	Panel: Fraud, Authentication, and Cybersecurity Moderator: Alexis Hall, Division of Examinations Panelists: Brad Ahrens, Senior Vice President of Advanced Analytics, FINRA Michael Wellman, Professor of Computer Science & Engineering, University of Michigan Kristen McCooey, Chief Information Security Officer, Edward Jones Alexander Leblang, Office of Cybersecurity and Critical Infrastructure Protection, Department of Treasury
12:15 pm – 1:15 pm	Lunch
1:15 pm – 2:30 pm	Panel: AI Governance and Risk Management Moderator: Valerie Szczepanik, Strategic Hub for Innovation and Financial Technology Panelists: Jeff McMillan, Head of Firmwide Artificial Intelligence, Morgan Stanley Johnna Powell, Managing Director and Head of Technology, Research and Innovation, The Depository Trust and Clearing Corporation Ryan Swann, Chief Data Analytics Officer, The Vanguard Group, Inc. Scott Mullins, Managing Director, Worldwide Financial Services Industry, Amazon Web Services Conan French, Director of Digital Finance, Institute of International Finance
2:30 pm – 2:45 pm	Break
2:45 pm – 4:00 pm	Panel: What’s Next/Future Trends Moderator: Marco Enriquez, Division of Economic and Risk Analysis Panelists: Hardeep Walia, Managing Director, Head of AI & Personalization, Charles Schwab Tyler Derr, Chief Technology and Product Officer, Broadridge Peter Slattery, MIT FutureTech Sarah Hammer, Executive Director, Wharton School; Adjunct Professor, University of Pennsylvania Law School; CEO of Wharton Cypher Accelerator
4:00 pm – 4:15 pm	Closing Remarks