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ON DEMAND: Fixed Income Pricing and Valuation: Is Fintech A Solution to a Long-Standing Challenge?
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Credit: 0 Credit Hours
The valuation of fixed-income securities can have an impact on both retail and institutional investors and inaccurate valuations have the potential to affect investment decisions, advisory fees, the accuracy of financial statements and investor account statements, and portfolio performance overall. Hand in hand with this impact on investors is regulatory risk for firms and pricing services. Financial regulators, including the SEC and FINRA, have long focused on regulatory and compliance issues that arise from what the regulators view as opaqueness of the fixed income market, including the pricing of relatively illiquid municipal and corporate bonds. Regulators have brought enforcement actions to address conduct that they believe artificially distorted the pricing in the fixed income market, including in December 2020 an $8 million SEC settlement with a global pricing service. But, what's next? Is it possible that the best way to address these regulatory concerns is to leverage advances in Fintech to bring more transparency and efficiency in the fixed income markets. Join current and former regulators as well as technology industry experts to learn more on the impact Fintech could have in addressing these longstanding concerns.
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Sponsored by: FinTech Regulation & Enforcement Committee of the D.C. Bar Corporation, Finance and Securities Law Community
Speakers:- Peter Chan, Partner, Financial Regulation and Enforcement Practice, Baker McKenzie
- Alexander Ellenberg, Associate General Counsel, FINRA
- Mike Post, Associate General Counsel, Bank of America Merrill Lynch
- Chris White, CEO, BondCliQ
- Valerie Mirko, Partner, Financial Regulation and Enforcement Practice, Baker McKenzie (Moderator)
| Your Price | Standard |
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| Non-Member | $60.00 | | Corporation, Finance & Securities Law | $20.00 | | D.C. Bar Member | $40.00 | | D.C. Bar Premium Community Member | $0.00 | | Law Student Community | $15.00 |
| Government Attorney | Standard |
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| Non-Member | $20.00 |
| Non Profit Attorney | Standard |
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| Non-Member | $20.00 |
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