Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’ compliance programs—they also raise new challenges and regulatory implications for firms to consider.
FINRA’s RegTech Conference provides a forum for regulators, thought leaders and industry practitioners to learn more about the use of RegTech tools, and related opportunities and challenges.
The 2019 FINRA RegTech Conference took place on Thursday, January 17, 2019 in New York City. View the online brochure for the 2019 RegTech Conference.
If you are interested in being an exhibitor at one of our upcoming conferences, contact Jeff Arcuri at (508) 759-8180 or via email to request a conference exhibitor package.
Please direct questions about registration to (202) 728-6980 or via email.
This event is open to the media. Please contact us with any media inquiries.
Robert W. Cook, FINRA
Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation. From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division’s professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on over 2,000 rule filings and new product listings each year from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing more than 30 major rulemaking actions and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff’s review of equity market structure. Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner based in the Washington, DC, office of an international law firm. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters. Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.
Robert Colby, FINRA
Robert L.D. Colby is Chief Legal Officer of the Financial Industry Regulatory Authority (FINRA), which he joined in June 2012. In this capacity, he oversees FINRA’s corporate and regulatory General Counsel functions as well as FINRA’s Advertising and Corporate Financing Departments and the Office of Hearing Officers. Previously, Mr. Colby was a partner in the Washington, DC, office of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters involving securities and derivatives for financial institutions, markets and clearing organizations. Before joining Davis Polk in 2009, Mr. Colby served for 17 years as Deputy Director of the U.S. Securities and Exchange Commission’s Division of Trading and Markets. In that role, he was responsible for the regulation of broker-dealers, securities markets and clearing organizations. Previously, for 11 years he was Chief Counsel of the Division and Chief of the Division’s Branch of Market Structure.
Commissioner Hester M. Pierce, SEC
Hester M. Peirce was appointed by President Donald Trump to the U.S. Securities and Exchange Commission (SEC) and was sworn in on January 11, 2018. Prior to joining the Commission, Commissioner Peirce served as Senior Research Fellow and Director of the Financial Markets Working Group (now Program on Financial Regulation) at the Mercatus Center at George Mason University. While at the Mercatus Center, Commissioner Peirce’s research explored how financial markets foster economic growth and prosperity and the role well-designed regulation plays in protecting investors and consumers while promoting financial stability and innovation. Commissioner Peirce co-edited two books, authored publications, testified before Congress, and served on the SEC’s Investor Advisory Committee. Before joining the Mercatus Center, Commissioner Peirce worked on Senator Richard Shelby’s Committee on Banking, Housing, and Urban Affairs staff as Senior Counsel. In that position, she oversaw financial regulatory reform efforts following the 2008 financial crisis and conducted oversight of the regulatory implementation of the Dodd-Frank Act. From 2004 to 2008, Commissioner Peirce worked as counsel to SEC Commissioner Paul S. Atkins. Prior to serving Commissioner Atkins, Commissioner Peirce worked as a Staff Attorney in the Division of Investment Management. Before working at the SEC, Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims. Commissioner Peirce earned her B.A. in Economics from Case Western Reserve University and her J.D. from Yale Law School.
Andrew Gray, Depository Trust & Clearing Corporation
Andrew Gray is Managing Director, Group Chief Risk Officer, with global responsibility for all aspects of DTCC’s Risk Management, including Credit, Market & Liquidity Risk, Operational Risk Management and Systemic Risk, Information Security and Technology Risk Management, Business Continuity Management and Global Security Management. Andrew also has responsibility for DTCC’s Enterprise Data Management program. Prior to this role, Andrew served as Managing Director, Core Business Management, with overarching responsibility for DTCC's businesses, including Clearance and Settlement of Equities and Fixed Income products, Asset Services, Wealth Management Services, Insurance & Retirement Services, Omgeo and Data Services as well as the firm's Marketing & Communications function. Andrew serves on the Board of the International Securities Services Association (ISSA) and is a member of the Board of Trustees of Global Association of Risk Professionals (GARP). Before joining DTCC in September 2009, Andrew spent more than a decade with Merrill Lynch. Most recently, he served as Managing Director and Chief Operating Officer for Merrill’s Latin American and Canadian businesses. Prior to that, he was a Managing Director in Strategy and Business Development for Merrill’s Global Markets and Investment Banking businesses and for Global Securities Research & Economics. Previously, Andrew was a principal at Booz-Allen & Hamilton, the global management consulting firm.