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2nd Annual Innovation and Technology Law Conference

RegTech: The Transformation of Regulation & Compliance

3.5 Law and Legal and 2.5 Other CLE Credits | WSBA Activity ID # 1111291

Technology is dramatically changing all industries. A critical area of change is the transformation of how government supervises the activities of regulated industries such as Financial Services and Healthcare, and how the Legal Services Profession is leveraging technology through artificial intelligence and other innovations. Regulatory Technology, or “RegTech,” is rapidly evolving the processes of compliance, auditing, risk management, confidentiality, and more. Business firms, law firms, and NGOs have the exciting potential to benefit from all or most of these developments. Join us as lawyers and other thought leaders explore and discuss the technological changes that have occurred in and are envisioned for regulation and supervision. Find out where “RegTech” is leading us.


Recorded:  06/28/2019
Credits:  3.5 Law and Legal and 2.5 Other CLE | WSBA Activity ID # 1111291
Length: 6 hours

Featured Speakers:
Steven Bender, Joseph M. Vincent, Youssef Sneifer, Caitlin Long

Agenda and speakers are subject to change

8:30 - 9:00 a.m.

Registration and Coffee

9:00 - 9:10 a.m.

Welcome and Overview


Annette Clark, Dean, Seattle University School of Law

9:10 - 10:00 a.m.

Session 1 - Policy Issues at the Intersection of Regulation and Technology

Themes for Discussion: 

  • Is technology making regulation better? 
  • Is regulation keeping up with technology? 
  • Is technology changing the nature of regulation of industries?
  • What are the responsibilities of the CEO, CFO, CCO, and other executive level roles with respect to compliance?


Joseph M. Vincent, Director of Regulatory & Legal Affairs, Washington State Department of Financial Institutions


Youssef Sneifer, Advisory Counsel, Perkins Coie

Jerry Vergeront, Director of Risk and Cybersecurity, Seattle University

10:00- 10:10 a.m.


10:10 - 11:50 a.m.

Session 2 - RegTech & Financial Services

Themes for Discussion:

  • What are the key innovations occurring in government regulation and enterprise risk management through RegTech?
  • Who are some of the key players among government agencies worldwide and financial services providers?
  • What approaches to financial regulation will likely change?
  • What is RegTech likely to mean for government regulators of financial services?
  • What does RegTech mean on a practical level for the FinTech-enabled financial service provider, enterprise risk managers, compliance staff, and legal advisers?
  • When can investors and customers expect to see the effects of these RegTech changes?


Youssef Sneifer, Advisory Counsel, Perkins Coie


Charles Clark, Deputy Director, Washington State Department of Financial Institutions

Brian Golob, Founding Partner, Golob Partners

Dana Syracuse, Perkins Coie (New York)

Tamara Rogers, General Counsel, Pithia

Bryan Guy, Chief Legal Officer, Stably

11:50 a.m. - 12:15 p.m.


12:15 - 1 p.m.

Luncheon Keynote


Caitlin Long, Wyoming Blockchain Coalition

1:00 - 2:00 p.m.

Session 3 - RegTech in the Health Industry


Annette Clark, Dean, Seattle University School of Law


David G. Schoolcraft, Ogden Murphy Wallace P.L.L.C.

Casey F. Moriarty, Ogden Murphy Wallace P.L.L.C. 

2:00-2:15 p.m.


2:15 - 4:15 p.m.

Session 4 - RegTech & Legal Services

Themes for discussion:

  • How are technologies and applications disrupting the delivery of traditional legal services?
  • Are lawyers at risk of being replaced by these technologies, or just some of their work?
  • Do large law firms receive an advantage over small firms by the advent and applications of technology-how can the small firms or solo practices keep up?
  • What role, if any, should lawyers and law firms have in the development of legal service technologies?


Steven Bender, Associate Dean for Planning and Strategic Initiatives and Professor of Law, Seattle University School of Law


Jeannette Eicks, Director of the Center for Legal Innovation, Vermont Law School

Vedika Mehera, Orrick, Herrington & Sutcliffe LLP

Kimball Parker, SixFifty

Gaurav Oberoi, Allen Institute for Artificial Intelligence / Stealth Legal Tech Startup

Adam Star, Amazon Web Services

LeighAnne Thompson, Seattle University School of Law

4:15 - 4:45 p.m.

Session 5 - Commentary on the Intersection of Regulation and Technologies


Steve Tapia, Distinguished Practitioner in Residence, Seattle University School of Law

Joseph M. Vincent, Director of Regulatory & Legal Affairs, Washington State Department of Financial Institutions

Dax Hansen, Perkins Coie

4:45 p.m.

Evaluations and Adjourn


Program Chairs

Steven Bender, Associate Dean for Planning and Strategic Initiatives, Seattle University School of Law

Associate Dean Steven Bender is a national academic leader on immigration law and policy, as well as an expert in real estate law. Among his honors, the Minority Groups Section of the Association of American Law Schools presented him with the C. Clyde Ferguson, Jr., Award, a prestigious national award recognizing scholarly reputation, mentoring of junior faculty, and teaching excellence.

He joined the faculty from the University of Oregon in 2011 and served as Associate Dean for Research and Faculty Development from 2014-2017. He taught at UO for 20 years and served as the James and Ilene Hershner Professor of Law, Director of Portland Programs, Director of the Green Business Initiative, and Co-Director of the Law and Entrepreneurship Center.

Professor Bender is a prolific author of many law review articles, a casebook on real estate transactions, a national two-volume treatise on real estate financing, and several acclaimed books. His latest book, the co-edited "From Extraction to Emancipation: Reimagining Development," was published in 2018 by Carolina Academic Press and the ABA Section of International Law.

Among his other books are "Mea Culpa: Lessons on Law and Regret from U.S. History" (NYU Press 2015); "Run for the Border: Vice and Virtue in U.S.-Mexico Border Crossings" (NYU Press 2012); "Greasers and Gringos: Latinos, Law, and the American Imagination " (NYU Press 2003); "Tierra y Libertad: Land, Liberty, and Latino Housing" (NYU Press 2010); "One Night in America: Robert Kennedy, Cesar Chavez, and the Dream of Dignity" (Routledge 2008), winner of the 2008 Oregon Book Award for General Nonfiction; "How the West Was Juan: Reimagining the U.S.-Mexico Border" (San Diego State University Press 2017); and "Comprende?: The Significance of Spanish in English-Only Times," (Floricanto Press 2008). He is co-author of "Everyday Law for Latino/as" (Routledge 2008) and "Compassionate Migration and Regional Policy in the Americas" (Palgrave Macmillan 2017).

His research interests coincide with his classroom teaching, which encompasses subjects as diverse as Business Associations, Property, Real Estate Transactions, UCC Secured Transactions, Contracts, and Latina/os and the Law.

Associate Dean Bender is an elected member of the American Law Institute, the American College of Real Estate Lawyers, and the American College of Mortgage Attorneys. During 2009-2011, Bender served as co-president of the national Society of American Law Teachers (SALT).

Joseph M. Vincent, Director of Regulatory & Legal Affairs, Washington State Department of Financial Institutions

Joseph M. Vincent has been, since March 2003, Director of Regulatory & Legal Affairs and a member of the Executive Team of the Washington Department of Financial Institutions. In those capacities, Professor Vincent has acted as in-house counsel to the agency's director and the principal legal and regulatory adviser to the Division of Banks and Division of Credit Unions (which charter and supervise state-chartered banks, credit unions, and trust companies), he has been the principal in-house legal and regulatory adviser on agency-wide matters, and he has acted as the agency director's executive advisory reviewing officer at the appellate level of administrative adjudications involving the agency. In addition, Vincent's role at the Department has involved extensive policy-making and drafting of many of the agency's most significant legislative and rule-making initiatives over the last decade and a half, including the Washington Trust Modernization Act of 2014, the Washington Trust Act Amendments of 2015 (in collaboration with the Washington Bar Association), the 2013 Modernization of the Lending Limits Rule (including the Derivatives Rule), the Washington Commercial Bank & Savings Bank Modernization Amendments of 2010, and the implementation of Initiative 502 and subsequent cannabis-related legislation in relation to banking and other financial services.

Prior to his government career as a financial institutions regulator, Professor Vincent was in private practice in Seattle as a civil litigator for 6 years, served as Legal & Regulatory Manager for 11 years (and also Loan Administration Manager for 7 of those same years) for Washington Federal Savings (now Washington Federal, N.A.), and was then a principal in two information-technology startups for a total of 5 years, one devoted to an innovative computerized loan information system (CLIS) in the residential-mortgage space and the other focused on providing digital signature solutions using public key infrastructure (PKI). During this period, Vincent also launched and managed a unique, cooperative-based mortgage brokerage which utilized the afore-mentioned CLIS in real-time.

Professor Vincent co-developed, with Professor Ryan Straus, the seminal concept for what has eventually become the Fin-Tech cluster of the LLM/MLS Program in Innovation & Technology Law, and Vincent has also served as a member of that program's Board of Advisers. He co-chairs the State Law Developments Subcommittee of the Banking Law Committee (Business Law Section) of the American Bar Association, is active as a regulatory lawyer affiliated with the Conference of State Bank Supervisors (CSBS) and the National Association of State Credit Union Supervisors (NASCUS), was Chair of the Attorney's Committee for the former Washington Financial League, was Legislative/Legal Committee Chair for the former Seattle Mortgage Bankers Association, and represented the banking and lending communities on several ad hoc committees, including the Secretary of State's original work group that drafted the Washington Electronic Authentication Act and the Legislature's ad hoc committee that drafted a modernization of Washington's construction lien law.

Professor Vincent was graduated from the University of California at Berkeley and received his Juris Doctor degree from Golden Gate University School of Law. He is admitted to practice in Washington State.


General Registration - $225

Seattle University School of Law Alumni - $195

Current Seattle University School of Law Students and Faculty - free for in-person participation only

Live webcast and in-person options available

Cancellations and Refunds:

The last day to cancel your registration for this program is 4:30 p.m., Friday, June 21, 2019. A $15 administrative fee is charged for cancellations and the balance will be refunded. After 1 week before the program, cancellations will not receive a refund; however, substitute attendees are welcome. Please inform us of substitutions at or (206) 398-4281.