2021 NASAA Fintech and Cybersecurity Symposium

Recorded On: 12/30/2021

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NASAA 2021 Fintech and Cybersecurity Symposium
Select the "View On-Demand Recording" button to begin.
Select the "View On-Demand Recording" button to begin. Introductory Remarks: Jillian Lazar, Chair, NASAA FinTech Committee and Director of Investor Protection, Delaware Investor Protection Unit Opening Remarks: Melanie Senter Lubin, NASAA President and Securities Commissioner, Maryland Division of Securities Keynote Address: Jonathan Rajewski, Managing Director of Digital Forensics and Incident Response, Stroz Friedberg
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Live Viewing: 0.50 Gentera/Professional credits and certificate available
Live Viewing: 0.50 Gentera/Professional credits and certificate available
Panel #1 The Future of Decentralized Finance (DeFi): What if there is no center to hold?
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Select the "View On-Demand Recording" button to begin. DeFi, or decentralized finance, refers to financial services offered on the blockchain through automated computer codes. It is more than just crypto coins: unlike traditional finance that has a central company or group of companies responsible for transferring funds, matching counterparties, setting terms, and settling, DeFi protocols are created to eliminate the "central" human middleman, thereby removing the financial institutions with which regulators would typically interact. DeFi promises faster transactions and lower costs (labor, fees), which are catnip to companies and investors. But what about investor protection and fair market principles? If there is no center, to whom should regulators look to hold responsible for investor protection? And is there really no center for regulatory purposes? This panel will look to unpack what "decentralization" means to the industry, what it means to regulators and whether there needs to be a new idea of a central mover that regulators can use to enforce investor protection.
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Live Viewing: 1.25 Gentera/Professional credits and certificate available
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Panel #2 Regulation Along the Continuum: Self-serving or Self-defeating?
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Select the "View On-Demand Recording" button to begin. Cybersecurity rules and regulations enhance the protection of consumer data and provide firms a level of confidence and assurance when properly in compliance. Many firms, however, must rely on third parties and other outside products in an effort to meet these compliance standards, but what if the third-party services and products, which were once part of a robust compliance program are no longer supportive, but rather, conflictive? Where is the line drawn on responsibility and what factors should influence its placement?
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Jill Lazar

NASAA FinTech Committee Chair & Director of Investor Protection

Delaware Investor Protection Unit


Jillian Lazar is a Deputy Attorney General and the Director of Investor Protection at the Delaware Department of Justice. Jill routinely advises on a number of issues including securities regulation, financial services policy, compliance, and developments in fintech and digital assets. She is the chair of the NASAA FinTech Committee, the co-chair of the NASAA Investor Education Section, and a participant on the NASAA Cybersecurity and CRD Steering Committees. In 2020, she served as an Affirmative Leaders Fellow with the Public Rights Project.

Jill earned her J.D. from Fordham University School of Law and her BA from Ithaca College.

Andrew Hartnett

NASAA President and Deputy Administrator for Securities

Iowa Insurance Division

Andrew Hartnett is the Deputy Administrator for Securities in the Iowa Insurance Division where he directs the activities of the Securities and Regulated Industries Bureau. He currently serves as President-Elect of the North American Securities Administrators Association (NASAA) and will serve as the Association's 2022-2023 President, NASAA's 105th president. Andrew brings to these roles experience as a state securities regulator in two jurisdictions, as an Assistant Attorney General, and several years in private practice.   Prior to becoming the principal Iowa securities regulator, Andrew spent almost a decade in Missouri state government. As Missouri Commissioner of Securities, he directed the Missouri Securities Division, spearheaded the drafting and passage of the innovative Missouri Senior Savings Protection Act to prevent financial exploitation of senior citizens, and led the team that created the cybersecurity examination module first used by most state regulators.   While at the Missouri Attorney General’s office, Andrew first served as an Assistant Attorney General in the Consumer Protection Division, handling all aspects of consumer protection, antitrust and securities investigations and litigation. He was ultimately promoted to serve as chief of staff to then-Missouri Attorney General Chris Koster.  During his time in government, Andrew has been active in NAAG and NASAA. Prior to being elected to the Board of Directors of NASAA in 2019 and as President-Elect in 2021, Andrew twice chaired the NASAA Enforcement Section and also chaired the Broker-Dealer Section. Over the years, Andrew has also chaired Board committees focused on cybersecurity, technology, and federal legislation.  Andrew began his legal career at Bryan Cave. Between his government service in Missouri and Iowa, he was a partner (officer) at Greensfelder, Hemker & Gale, where he worked on data privacy matters and represented broker-dealers and investment advisers in regulatory and enforcement matters. Andrew earned his bachelor's degree from Catholic University, a master’s degree from New York University, and a J.D. from Saint Louis University.

Jonathan Rajewski

Managing Director of Digital Forensics and Incident Response

Stroz Friedberg


Jonathan T. Rajewski, MS, CCE, EnCe, CISSP, CFE, TJFC is the Founder & Director of the Senator Patrick Leahy Center for Digital Investigation at Champlain College in Burlington, Vermont. He is also an Associate Professor of Cyber Security and Digital Forensics. Jonathan leads research projects and cyber security / digital forensic investigations for corporate, nonprofit and governmental entities. He has a passion for helping others understand extremely complex technical topics and cybercrime investigations which compliments his abilities to teach, empower and advise organizations on how to properly approach the ever-evolving threats on the Internet.

Mr. Rajewski serves on the Governor’s Cybersecurity Advisory Team in Vermont. He was the founding Chairman of the Board of Directors for BTVIgnite, which is an independent nonprofit dedicated to fostering creation of the next generation of the Internet, sparking new business opportunities and profoundly impacting how Americans work, live, learn and play. Currently Mr. Rajewski is an active member of the board.

He has presented on the TEDx stage in Buffalo, New York, been awarded the 4 under 40 award from his undergraduate alma mater, Hilbert College (Hamburg, New York) and received the C. Bader Alumni Leadership Award from his graduate alma mater, Champlain College.

Keith Bettencourt

Examination Manager, CyberTech

FINRA


Dynamic Compliance executive with CCO experience focused on making Compliance “uncomplicated” for business partners. Leading a high-performing Compliance and Licensing program in a complex regulatory environment. Consistently promoted in performance-based organizations. Skilled in being able to see “around the corner” and mitigate Compliance, supervision and regulatory risks associated with current and future business priorities while communicating critical information and requirements simply and concisely across diverse business areas. An Agile mindset enables quick pivoting with changing priorities.

Marc Boiron

Partner

dYdX


Marc Boiron is General Counsel at dYdX where I handle all legal matters on behalf of dYdX.  Prior to joining dYdX,  Marc was a partner in the blockchain and cryptocurrency and financial services groups of Manatt, Phelps & Phillips, LLP. His practice focused on blockchain and digital assets, and his clients operate businesses across a broad range of industries that use innovative technologies to disrupt traditional businesses. He also advised venture funds making investments in blockchain companies and digital assets.

Prior to joining Manatt, Marc founded and led a blockchain-focused practice at a large California-based law firm, where he built a practice advising companies on a breadth of issues involving digital assets, including token distributions, fund portfolio investments, exchanges, custody and mining. He also advised early-stage companies on traditional financings and crowdfunding.


Marc a frequent speaker on issues relating to blockchain technology, mainly educating on blockchain technology and cryptocurrency regulations. He has also served as an adjunct professor of law at the Chapman University Dale E. Fowler School of Law, where he taught foundational transactional skills.


Chris Brummer

Law Professor

Georgetown University Law Center


Chris Brummer is Agnes N. Williams Research Professor and Faculty Director of Georgetown’s Institute of International Economic Law. Prior to joining Georgetown’s faculty with tenure in 2009, Brummer was an assistant professor of law at Vanderbilt Law School. He has also taught at several leading universities as a visiting professor including the universities of Basel, Heidelberg, and the London School of Economics.

Professor Brummer recently concluded a three year term as a member of the National Adjudicatory Council of FINRA, an organization empowered by Congress to regulate the securities industry, where his work was praised as making a significant contribution to advancing investor protection.

Professor Brummer was nominated twice by President Obama in 2016 and 2017 to serve as a Commissioner on the Commodity Futures Trading Commission. He received unanimous approval in the vote by the Senate Agriculture Committee, though no floor vote was immediately scheduled after the election.  The nomination was withdrawn by President Trump.

Dr. Brummer lectures widely on finance and global governance, as well as on public and private international law, market microstructure and international trade. He is the author of several books, most recently Fintech Law in a Nutshell (2019).  His current research examines how China’s internationalization of its currency is producing novel systemic risks for the global financial system.

Chris Brummer earned his J.D. from Columbia Law School, where he graduated with honors, and he holds a Ph.D. in Germanic Studies from the University of Chicago. Before becoming a professor, he practiced law in the New York and London offices of Cravath, Swaine & Moore LLP. He has also served as a Senior Fellow at the Milken Institute and was awarded the C. Boyden Gray Fellowship for Global Finance and Growth at the Atlantic Council, where he launched the think tank’s Transatlantic Finance Initiative.

Tung Chan

Securities Commissioner

Colorado Division of Securities


Recently, the Division of Securities welcomed a new Commissioner, Tung Chan. Commissioner Chan brings a wealth of knowledge, experience, and legal expertise.  She began her practice as a securities and corporate attorney with an international law firm in New York City.  In private practice, she has advised private and public Fortune 100 companies in securities, finance, corporate governance, regulatory, and international matters.  She also served as Securities Commissioner for the State of Hawaii from 2006-2015. Recently, Commissioner Chan has been general counsel for blockchain startups including the Ethereum Foundation at the launch of its genesis block.  Commissioner Chan is a graduate of Dartmouth College and the University of Michigan Law School and clerked for the U.S. Court of Appeals for the 10th Circuit.

Jason Gottlieb

Partner & Chair

Morrison Cohen, LLP

Jason defends companies and individuals in investigations and enforcement actions conducted by governmental or self-regulatory agencies, including the SEC, CFTC, Department of Justice, New York Attorney General’s Office, FINRA, ICE, CME, NYMEX, Arca, state attorney generals and securities regulators, and others.

Jason is the principal author of the MoCo Cryptocurrency Litigation Tracker, and was named to the National Law Journal's inaugural list of Cryptocurrency, Blockchain and Fintech Trailblazers.  Jason regularly advises U.S. and foreign companies on blockchain and cryptocurrency law relating to litigation and regulatory risk issues, and has been widely published and quoted in the media for his cryptocurrency and blockchain expertise, including by CNN, CNBC, Bloomberg Law, Fortune, the National Law Journal, The New York Law Journal, Law360, The Real Deal, and many more.

In each regulatory enforcement matter, Jason brings a practical, business-friendly approach to protecting his client’s economic and reputational interests.  When necessary, Jason is fully ready to litigate, and has done so – for example, winning dismissal of an SEC case in federal district court, a victory later sustained by the Supreme Court of the United States.

Gary DeWaal

Special Counsel and Chair, Financial Markets and Regulation

Katten


Gary DeWaal brings substantial experience from both industry and government to his practice counseling clients on exchange-traded derivatives and cryptoassets. He advises a worldwide client base on transactional and regulatory matters relating to those and other complex financial products. Gary's clients benefit from his deep well of contacts and practical knowledge from his prior work with the world's largest exchange-traded derivatives broker and, before that, as a senior trial attorney with the Division of Enforcement at the US Commodity Futures Trading Commission (CFTC).

Salvatore Montemarano

Examiner

U.S. Securities and Exchange Commission


Prior to joining the Commission, Mr. Montemarano was the Chief Information Security Officer for the Overseas Private Investment Corporation (OPIC). Mr. Montemarano has worked in the information technology field for over 20 years, 12 years focused on cybersecurity. Mr. Montemarano has a degree from George Mason University and a Masters in Information Security from the University of Maryland University College.

Catherine Rudow

Vice President of Cyber Insurance

Nationwide


Catherine Rudow has over 25 years’ experience in the (re)insurance sector, she is responsible for developing and expanding the Cyber product expertise across Nationwide.  Prior to her current role, Catherine served at PartnerRe overseeing underwriting for and managing PartnerRe’s North American cyber insurance portfolio. As an expert in cyber insurance risk, she speaks frequently at national and international conferences on a broad range of cyber topics. Her background also includes Tech E&O, professional liability and casualty lines of business.  Catherine has a Bachelor of Science and Bachelor of Commerce from Concordia University, Montreal and earned her Master of Business Administration at Yale University.

Dan Sanderson

Vice President of Strategy

CyberAdvisor


Dan has served as the VP of Strategy at Cyber Advisors since 2012. Having a natural entrepreneurial soul, Dan serves his team with leadership, guidance, and strategy in conjunction with Cyber Advisors culture. Working closely with the entire executive team, his responsibilities include evangelizing company vision and increasing company visibility. In addition, Dan leads the marketing strategy at Cyber Advisors and works closely with CEO Shane Vinup on innovation. Dan is well-connected in the technology landscape, performing many interviews with publications such as CRN and Gartner . Dan has also carved out an enterprise security practice at Cyber Advisors and forged strategic initiatives to produce year after year growth.  Dan Currently holds a board position at a Minnesota based cyber security organization as well as other businesses in the financial services and energy markets.  Prior to Cyber Advisors, Dan held various executive level positions at other information technology services organizations leading technical and sales teams.

Matthew Vatter

Assistant Commissioner of Enforcement

Minnesota Department of Commerce

Matt Vatter serves as Assistant Commissioner for the Enforcement Division. In this role, he oversees all of the Department’s enforcement functions including registration, examination, administrative and criminal law enforcement activities of Commerce Fraud Bureau, Securities and Enforcement Sections.

Vatter joined the Commerce Department in April of 2019 after serving as the Chief Operations Officer for a local, veteran-owned cyber security company and a 30 plus year military career. Matt served in numerous leadership positions with the Guard, finishing his career as the Director of Strategic Plans and Policy where he led long-term, strategic planning for the Minnesota National Guard. He has demonstrated experience in complex problem solving and interagency operations as well as business experience in cyber security programs and policy. Vatter graduated from the University of Wisconsin – Madison with a B.S. in Secondary Education, a leadership certificate from the John F. Kennedy School of Government at Harvard University, a Master’s of Science in Strategic Studies from the US Army War College and a Master’s of Science in Security Technologies from the University of Minnesota.