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  • Description
    Recent developments in the FinTech – financial technology – are wreaking havoc on the securities industry. This CLE course, presented by FINRA staff and industry representatives, will discuss these developments particularly in the fields of artificial intelligence, identity authentication tools and big data/cloud computing. The course will explain how these changes are and should be addressed as well as compare the regulatory risks that should be considered in investing.
  • Instructor Bio

    Mark Casady

    Mark Casady co-founded Vestigo Ventures in 2016 with a focus on financing start -ups in FinTech. He is general partner and chairman of the advisory board. He is a member of the board of the EZE Software Group and Citizens Financial Group, and serves as an advisor to Jobcase, Inc. He is a former member of the Financial Industry Regulatory Authority (FINRA) Board of Governors. Mr. Casady retired as LPL Financial CEO in early January 2017 and as non-executive chairman of the board in early March 2017. He guided LPL to become a leading financial services organization that serves independent financial advisors, banks, and credit unions, and provides clearing services to broker/dealers at financial services companies. Before joining LPL Financial in 2002, Mr. Casady was managing director of the mutual fund group for Deutsche Asset Management, Americas — formerly Scudder Investments.

    Prior to Scudder, he held roles at Concord Financial Group, which was a start-up funded by Hambrecht & Quist that went public, and started his career at Northern Trust. Additionally, Mr. Casady is treasurer of the Casady family’s One Step Forward Education Foundation, which focuses on changing the lives of children around the globe through education. He also helped found and fund the Invest in Others Charitable Foundation, which recognizes the philanthropic activity of financial advisors. Mr. Casady received a BS from Indiana University and an MBA from DePaul University.

    Charles Senatore

    Charles (Chuck) Senatore heads risk oversight for Devonshire Investors, Fidelity’s private investments unit. He previously led Fidelity’s global compliance function and served as the firm’s head of regulatory coordination and strategy. Mr. Senatore currently advises on issues of compliance, governance and emerging technologies. He is the founder of Boston’s Regtech Meetup and serves on the boards of companies engaged in cryptocurrency, artificial intelligence and regtech use cases. Prior to joining Fidelity, Mr. Senatore was Co-Head of Global Compliance at Merrill Lynch, and was Director of the Securities and Exchange Commission’s Southeast Region. Prior to his service at the Commission, Mr. Senatore was a partner at Cadwalader, Wickersham & Taft and was an Assistant U.S. Attorney and Chief of the Public Corruption Section in the Southern District of Florida.

    He is a member of the Standing Advisory Group of the Public Company Accounting Oversight Board and of the American Law Institute. He teaches Compliance and Regulatory Strategy at the University of Chicago Law School. He previously was Chair of FINRA’s National Adjudicatory Council and Chair of the Board of Directors of the National Society of Compliance Professionals. Mr. Senatore received a Bachelor of Arts in Economics from Williams College and earned a J.D. from the University of Chicago Law School.

    Vinod Rajaram

    Vinod Rajaram Director, Head of Capital Markets Origination Tech and Head of NY Innovation Lab Citi.

    Kavita Jain

    Kavita Jain is Director in the Office of Emerging Regulatory Issues within FINRA’s Department of Risk and Strategy. In this role, she assists the Office in identifying and analyzing new and emerging risks and trends related to the securities industry, and developing strategic responses to potential issues. Some examples of current areas of her work include FinTech, blockchain technology, artificial intelligence, RegTech and online capital-raising platforms. During her tenure at FINRA (previously NASD), Ms. Jain has served in key positions in the Offices of Emerging Regulatory Issues, Finance and Strategic Planning. Ms. Jain has an M.B.A. from the University of Southern New Hampshire and a CRCP™ Certification from the FINRA Institute at Wharton.