Large and small investment advisors alike are affected by technology and big data. The SEC is relying more and more on prodigious amounts of data in its policy making and examination and enforcement efforts. This panel discusses the use of data and technology in the investment and regulatory processes, as well as in testing, data aggregation, use of the cloud and data storage, digital platforms, models, and algorithms, and exploration of blockchain, artificial intelligence, and "reg-tech."

This IAA 2019 Investment Adviser Compliance Conference breakout panel includes:

Catherine (Katy) Courtney Gordon, Vice President and Corporate Counsel, Prudential Financial, Inc.

James Ferrarelli, Vice President of Technology, Charles Schwab Investment Management, Inc. and Charles Schwab Investment Advisory, Inc.

Elcin Yildirim, Assistant Director, Quantitative Analytics Unit, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Thomas P. Vartanian, Executive Director & Professor of Law, Program on Financial Regulation & Technology, Antonin Scalia Law School, George Mason University

Alexander Gavis, SVP & Deputy General Counsel, Fidelity Investments, Moderator