Kelvin To

About Kelvin To

A Market Reformer, a Patent Inventor, a GRC Specialist, with over 30 years of management…

Experience

1. Founder and President

   Data Boiler Technologies, Llc

   Feb 2013 — Present

   Startup venture in partnership with former Senior Executive at NASDAQ / Goldman Sachs.* Came up with a suite of inventions (18 approved patent claims + more pending in pipeline) that- Use machine learning to discern market making versus proprietary trading for Volcker compliance- Use time-lock to make market data available securely in synchronized time to ease HFT arms-race- Accelerate risk detection with fewer false+/- amid data veracity and other surveillance challenges- Forecast securities inventory / risk appetite, conduct stress test, market simulations and more.* Nominated for Financial Technologies Forum 2015 FinTech Person of the Year and Best Regulatory Compliance Solution Awards.* Tech Advisory Council committee for the BPI (FSR/BITS); organized FinTech Ideas Festival and other events with CEO participants from major banks, insurers, IBM, Microsoft, Accenture, etc.(topics include data-in-motion, cybersecurity, blockchain).* Advocated for advancement of risk controls amid political headwind threaten to rollback regulations; assertive while earned good rapports with the SEC, CFTC, OCC, FDIC, FRB, industry groups (ABA, SIFMA), and think tanks (Brookings and others).* In talks with OMS/ EMS vendors for value-added approach to ease broker/dealers concerns in FINRA’s Consolidated Audit Trail (world’s largest financial database) project, while improving the robustness in suspicious activities (manipulation) reporting;* Identified any direct or indirect stake in a hedge fund or private equity by reviewing 1940 Act exemptions, commodity pool status, foreign exclusions and more for a European Bank to assure compliance and restrict investment in covered funds.* Advised on BCBS-239 risk data aggregation and other control and compliance matters (e.g. revised market risk framework under FRTB, realignment of 3 lines of defense, equity market structure reform, etc.)* Project Profiles & References can be found at

Skills

• Portfolio Management
• Financial Regulation
• Product Management
• Internal Controls
• Surveillance
• Audit
• Communication
• Capital Markets
• Analysis
• Leadership
• Information Security
• Teamwork
• Investment Banking
• Asset Managment
• Compliance
• Big Data
• Information Technology
• Insurance
• Project Management Office (Pmo)
• Enterprise Architecture
• Market Risk
• Financial Services
• Mutual Funds
• Machine Learning
• Financial Markets
• M&a Research
• Corporate Finance
• Stress Testing
• Management
• Itil
• Statistics
• Investment Advisory
• Equities
• Trading
• Change
• Hedge Funds
• Retirement
• Innovation Management
• Sarbanes-Oxley
• Dodd-Frank