Monday. September 28, 2026
8:30 A.M. - 1:00 P.M. ET
New York | NY
SIFMA & PwC Forum: Building for What’s Next in Risk and Regulatory
Join SIFMA & PwC for a Half-Day Forum
SIFMA and PwC will bring together industry leaders for a forum examining how broker-dealers are navigating an evolving risk and regulatory landscape and preparing for what’s ahead.
The program will explore emerging regulatory, technology, geopolitical, and operational risks, with a focus on resilience, regulatory strategy, and smarter controls. Discussions will also examine the role of AI in transforming operations and creating new opportunities across financial services.
Discussion topics include:
- Emerging regulatory, technology, geopolitical, and operational risks
- Risk, resilience, regulatory strategy, and smarter controls
- The future of AI and intelligent operations
This forum is open to SIFMA members and clients of PwC. Pre-registration is required to participate.
Featured Speakers
STEPHEN BYRON
Managing Director, Head of Technology, Operations and Business Continuity
SIFMA
LAKSHMAN KANNAN
Partner
PwC
JOSEPH LO
Head of AI Innovation
Broadridge
PRADEEP PANDEY
Partner
PwC
CHRIS POMPONIO
Head of Banking and Capital Markets AI GTM
Google Cloud
GAURAV SHUKLA
Partner
PwC
Agenda
All times are in Eastern Time and are subject to change.
8:30 A.M. - 9:15 A.M.
Breakfast & Networking
9:15 A.M. - 9:25 A.M.
Welcome & Opening Remarks
9:25 A.M. - 10:10 A.M.
Session 1: Industry Landscape & Emerging Risks
A discussion of the emerging risks facing global broker-dealers, including where regulatory, technology, geopolitical and operational risks are converging and what resilience means in an increasingly interconnected ecosystem.
- Interconnected ecosystem risk, including third parties, market infrastructure and concentration risk
- AI, data and operating model change - and where traditional risk-management models are struggling to keep pace
Moderator:
Gaurav Shukla, Partner, PwC
Speakers:
Stephen Byron, Managing Director, Head of Technology, Operations and Business Continuity, SIFMA
Joseph Lo, Head of AI Innovation, Broadridge
10:10 A.M. - 10:25 A.M.
Networking Break
10:25 A.M. - 11:10 A.M.
Session 2: Risk, Resilience & Regulatory Strategy
A look at how firms are modernizing risk and regulatory strategy through connected data, AI-enabled monitoring and smarter controls, with enterprise resilience positioned within the broader risk and resilience conversation.
Speakers:
Lakshman Kannan, Partner, PwC
Pradeep Pandey, Partner, PwC
11:10 A.M. - 11:55 A.M.
Session 3: AI & Google - The Agentic Enterprise: Building, Governing and Scaling Intelligent Agents
We have officially reached a critical tipping point in financial services: moving rapidly from proof of concept to proof of impact. This fireside explores how leading banks are shifting from basic AI pilots to autonomous, multi-step agentic workflows that shrink time-to-decision. Attendees will learn how this evolution elevates the human role, shifting compliance teams into "agent supervisors" who manage strategic risk while AI orchestrates execution at scale.
Speaker:
Chris Pomponio, Head of Banking and Capital Markets AI GTM, Google Cloud
11:55 A.M. - 12:00 P.M.
Closing Remarks
12:00 P.M. - 1:00 P.M.
Lunch & Networking
Useful Information
Registration Questions
Participation is complimentary and for SIFMA members and clients of PwC. Advance registration is required to participate.
Co-Hosted Events
SIFMA shares select business contact information with co-hosts of our events. To opt out, please email SIFMA Member Relations.
Media Inquiries
This forum is closed to members of the media. All comments are off the record and not intended for distribution in any manner.
Code of Conduct
Inappropriate behavior at SIFMA events is not tolerated. View our Code of Conduct and anonymous incident report form.
Accessibility
It is a priority to make our briefings inclusive and accessible for all. For questions or requests, contact SIFMA Member Relations.
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