Fintech Forum Silicon Valley
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1 GW Center for Law, Economics and Finance presents Fintech Forum Silicon Valley Balancing Innovation & Consumer Protection September 21, 2016 Plug and Play Tech Center, 440 N. Wolfe Rd, Sunnyvale, CA 94085
2 Overview FINANCIAL TECHNOLOGY, or FinTech, refers to a spectrum of technology innovations and startups that demonstrate disruptive potential in applications, processes, products, or business models in the financial industry. As FinTech continues to develop and evolve, providing solutions to more facets of the financial industry, it faces a more traditional problem: balancing consumer protection with innovation. Unlike other areas of technology, FinTech requires a certain degree of fiduciary duty to their users - bringing questions of regulation, security, and compliance to the forefront. The George Washington University's Center for Law, Economics, and Finance is holding the FinTech Forum Silicon Valley at Plug and Play in Sunnyvale, California on Wednesday, September 21st, 2016 to bring together industry leaders, academic experts, government regulators, and legal scholars in the heartland of innovation to discuss the issues that arise in the search for such a balance. The Forum is cohosted by Plug and Play and co-sponsored by Morrison & Foerster and White & Case. Event Sponsors
3 Agenda 8am: Registration and Continental Breakfast 9am: Welcoming Remarks Speaker: Neil Ruiz, Executive Director, GW Center for Law, Economics, and Finance 9.15am: Plug and Play Overview Speaker: Scott Robinson, Vice President, Plug and Play Fintech 9.25am: The Current Regulatory Framework Speakers: Obrea Pointdexter, Partner & Co-Chair of Financial Services Practice Group, Morrison & Foerster Kevin Petrasic, Head of Global Financial Institutions Advisory Practice, White & Case 10am: Keynote Address: Fintech Innovation and The Regulatory Landscape Bill Tai, Kiteboarding VC & Silicon Valley Angel Investor 10.45am: Panel 1: The Challengers of Reconciling Innovation and Regulation (See next pages for speakers and details) 12:15 pm: Lunch Keynote Address Brian Brooks, Executive Vice President, General Counsel and Corporate Secretary, Fannie Mae 1.45pm: Panel 2: Legal and Practical Problems of Security in a Fast Moving Fintech World (See next pages for speakers and details) 3pm: Panel 3: Who is the True Lender? (See next pages for speakers and details) 4.15pm: Panel 4: Who should regulate? State or Fed? (See next pages for speakers and details) 5.30pm: Closing Remarks Speaker: Neil Ruiz, GW Center for Law, Economics and Finance 5.35pm: Networking Reception
4 10.45am: Panel One The Challengers of Reconciling Innovation and Regulation Moderator: Rachel Witkowski, The Wall Street Journal Patrick Pinschmidt, Former U.S. Dept. of Treasury Official & Executive Director of Financial Stability Oversight Council John Beccia, Chief Compliance Officer & General Counsel, Circle Alex Acree, Managing Director & General Counsel, Fenway Summer Ventures John Muller, VP, Global Payments Policy, PayPal Bruce Wallace, Chief Digital Officer, Silicon Valley Bank Regulators and policymakers face a difficult balancing act. They want to protect both consumers and the greater financial system while allowing innovation to take its natural course. And contrary to expectations, sometimes innovators also seek out regulation to better understand the true conditions of their operating environment. Does regulation lend legitimacy to new technologies? What are some lessons learned by regulators that are being imposed on the Fintech forefront? How should the roles be assigned in developing standards and increasing interoperability? Should regulators take a proactive or a reactive role? What are some lessons and warnings to be taken from the international front? plugandplaytechcenter.com/fintech
5 1.45pm: Panel Two Legal and Practical Problems of Security in a Fast Moving Fintech World Moderator: John Biggs, East Coast Editor, TechCrunch Michael McGowan, Managing Director, Stroz Friedberg Patrick Murck, Fellow, Berkman Center for Internet & Society at Harvard Kathryn Haun, Asst. US Attorney & Digital Currency Coordinator, U.S. Dept. Of Justice Nathan Taylor, Partner, Morrison & Foerster Kevin Petrasic, White & Case With each new development in Fintech, data becomes increasingly accessible. This accessibility comes at the cost - each new point of access creates another potential point of breach. How can Fintech companies find the balance between security and accessibility? What legal hurdles lie ahead? What is the role of regulators in finding such a balance? Who coordinates the international aspects of cybersecurity? plugandplaytechcenter.com/fintech
6 3pm: Panel Three Who is the True Lender? Moderator: Sean Ruff, Fintech Practice Co-Chair, Morrison & Foerster Conor French, General Counsel, Funding Circle Tom Dresslar, Deputy Commissioner of Policy & Planning, CA Departmetn of Business Oversight Oliver Ireland, Partner, Morrison & Foerster Fintech companies are quickly becoming serious players in the lending market. Whether lending through P2P platforms or other innovative methods, a partnership between Fintech companies and traditional banks are becoming common place. But to many, including the Supreme Court in Madden v. Midland Funding, this brings forth many questions: Which regulators oversee these new products? What state laws must these loans abide by? Where must the Fintech company be licensed? A major question must be answered in this relationship - who is the true lender? plugandplaytechcenter.com/fintech
7 4.15pm: Panel Four Who should regulate? State or Fed? Moderator: Heather Somerville, Technology Reporter, Thomson Reuters Margaret Liu, SVP & Deputy General Counsel, Conference of State Bank Supervisors Dana V. Syracuse, Counsel, Buckley Sandler Joe Colangelo, Executive Director, Consumers' Research Michael Abramowicz, Professor of Law, GW Law School Fintech is expanding into new areas faster than regulation can provide guidance. New areas of Fintech - such as insurance, wealth management, online lending, payment systems, and blockchain security - raise questions of who the regulator should be, and whether it should be regulated on a state of federal level. Even more established classifications are subject to uncertainty. Recent developments, both domestic and international, may reclassify Bitcoin from its current status as a commodity. Amidst all this confusion, who should regulate? plugandplaytechcenter.com/fintech
8 Keynote Speakers Brian Brooks Executive Vice President, General Counsel, and Corporate Secretary, Fannie Mae Mr. Brooks oversees the Legal Department and Government and Industry Relations. He serves as a senior advisor to the Chief Executive Officer and the Board of Directors. Before joining Fannie Mae in November 2014, Mr. Brooks was Vice Chairman of OneWest Bank, where he served as chief legal officer and oversaw the bank s fair lending, corporate customer experience, and mortgage marketing and communications groups. In that position, he advised executive management and the board of directors on legal, risk, and strategic issues; developed and implemented strategies to manage litigation and government inquiries; led deal teams for strategic transactions; and led the bank s compliance with regulatory orders on mortgage servicing and foreclosures. Before that, Mr. Brooks was a Managing Partner at the global law firm O Melveny & Myers, where he led an office of more than 150 attorneys, represented major financial services companies in a variety of litigation and enforcement matters, and played a lead role in crafting the banking industry s response to the foreclosure crisis. Mr. Brooks has a bachelor of arts in government from Harvard University and a juris doctorate from the University of Chicago. Bill Tai Kiteboarding VC & Silicon Valley Angel Investor Bill established CRV's Silicon Valley presence and is a Partner Emeritus backing Scribd and Wish.com on CRV's behalf. Past Investor in more than a dozen startups that made it to public listing; Board Director on 7 of them as public companies. Board Director at BitFury, Voxer and Treasure Data where he is Chairman. Among Lead Angels in Canva, Color Genomics, SafetyCulture, Shoes of Prey, Tango.me, Tweetdeck(Twitter), Zoom.us. Backer of Further Future and MaiTai Global. Previously - VC at IVP; Founding CEO iasiaworks (IPO 2000 via Goldman Sachs); Founding Chairman IPinfusion (TSE:4813); World Economic Forum Tech Pioneer Committee Adjunct Professor of Innovation, Curtin University Sponsored Athlete in Kiteboarding Work: Venture Capital Education: Harvard MBA, BSEE University of Illinois
9 Panelists and Speakers Include: Alex Acree Managing Director & General Counsel, Fenway Summer Ventures John Muller VP, Global Payments Policy, PayPal Bruce Wallace Chief Digital Officer, Silicon Valley Bank Patrick Murck Fellow at the Berkman Center for Internet & Society at Harvard Sean Ruff FinTech Practice Co-Chair, Morrison & Foerster Kathryn Haun Assistant US Attorney & Digital Currency Coordinator, US Dept. of Justice Dana V. Syracuse Counsel, Buckley Sandler Conor French General Counsel, Funding Circle Joe Colangelo Executive Director, Consumers' Research John Biggs East Coast Editor, TechCrunch John Beccia Chief Compliance Officer & General Counsel, Circle Kevin Petrastic Head of Global Financial Institutions Advisory Practice, White & Case Margaret Liu SVP & Deputy General Counsel, Conference of State Bank Supervisors Michael McGowan Managing Director, Stroz Friedberg Patrick Pinschmidt Former U.S. Dept. of Treasury Official & Executive Director of Financial Stability Oversight Council Rachel Witkowski Reporter, The Wall Street Journal
10 The Center for Law, Economics and Finance The Center for Law, Economics, and Finance (C-LEAF) at GW Law School is a think tank in Washington, DC that serves as a focal point for the study of issues in economic policy, financial law, and entrepreneurship. The Center provides independent and practical policy solutions by considering diverse perspectives from academia, Wall Street, Main Street and Washington. C-LEAF seeks to work directly with public and private sector leaders in government to develop innovative ideas on the American legal and economic system. For more information, please contact: Neil Ruiz neilruiz@law.gwu.edu Pending participants
Fintech Forum Silicon Valley
GW Center for Law, Economics and Finance presents Fintech Forum Silicon Valley Balancing Innovation & Consumer Protection September 21, 2016 Plug and Play Tech Center, 440 N. Wolfe Rd, Sunnyvale, CA 94085
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