Business Considerations for Financial Services Ventures with Roger Craig, Kate Fuentes, and Nathan Tribble
Kate Fuentes, Nathan Tribble, and Roger Craig will provide insight into the business considerations when starting a fintech/crypto/financial services venture during this workshop. They will review what you should consider before entering the industry and discuss regulatory challenges while highlighting current-day stories of success vs. cautionary tales. Feel free to take a moment to get to know the speakers:
Kate Fuentes
Kate Fuentes is the Chief Legal Officer for the mutual fund group and a Deputy General Counsel at Corebridge Financial. She is responsible for legal, regulatory, and governance matters for over 100 registered funds, their investment advisers, and related service providers. Kate has broad experience providing advice and counseling on strategic, transactional/M&A, and product decisions relating to investment advisory and fund-related matters in the retail space and for insurance product and group retirement businesses. She also has extensive governance experience working with boards of directors. Prior to joining AIG/Corebridge Financial, Kate was an Associate in the investment management practice group at Paul Hastings LLP in NYC. Her practice focused on advising a variety of investment company structures, advisers, and broker-dealers, including launching new funds, handling special compliance and regulatory matters, and providing fiduciary counseling to boards. Kate participates on various industry panels and has a particular interest in ESG and Fintech-related matters. She is also passionate about women’s leadership development in the financial services industry. Kate received her J.D. from Seton Hall Law School and MBA from the Yale School of Management (asset management focus area).
Nathan Tribble
Mr. Nathan Tribble is a fintech and Capital Markets expert with 15 years of experience, currently serving as the Chief Executive Officer of VIKASA Capital Partners. He is also the co-founder and Managing Director of Heuristics Strategies, a California-based consultancy focused on fintech and public policy. He recently held the positions of President and Chief Compliance Officer at Stockpile Investments, a Palo Alto-based fintech firm, overseeing front and back-office operations, compliance, trading, operations, and risk management. Prior to that, he was the Chief Operating Officer for Ally Invest Forex and Ally Invest Futures, as well as the Director of Digital Partnerships at Ally Financial, where he led investment-related corporate development efforts. Mr. Tribble started his finance career at Morgan Stanley and fintech startups TradeKing and MB Trading. He holds various licenses, including Series 3, 4, 7, 24, 30, 31, 34, 53, 66, and 79, and is a Certified Anti-Money Laundering Specialist (CAMS). Mr. Tribble earned his MBA from the Yale School of Management, with a concentration in Asset Management.
Aside from his professional achievements, Mr. Tribble is also actively involved in non-profit organizations. He serves on the board of the Stockpile Foundation, which is dedicated to empowering underserved communities economically, and Turnkey Speech and Debate, which aims to bring debate programs to schools nationwide. Mr. Tribble resides in Hermosa Beach, California, and enjoys spending time outdoors with his wife and their 15-year-old Puggle.
Roger Craig
Roger Craig joined AIG in August 2019, as Senior Vice President and General Counsel for AIG Retirement Services. In this role, he oversees the legal team supporting AIG Retirement Services and serves as a member of the senior leadership team. Mr. Craig’s position expanded in 2022, as he assumed the General Counsel role for AIG’s Institutional Markets business.
Prior to joining AIG, Mr. Craig served as Senior Vice President, Head of Law and Compliance at Transamerica Life Insurance Company, where he provided strategic legal counsel for retirement plans, fixed and variable annuities, and life products. He also led the firm’s Asset Management function and managed distribution matters relating to broker-dealers and investment advisors. Prior to that, Mr. Craig spent over 20 years with Nationwide Mutual Insurance Company, where he was responsible for overseeing its legal functions, securities filings, mergers, and acquisitions, along with a number of complex internal investigations. For the last 10 years, he severed as the Senior Vice President and General Counsel for Nationwide Financial. He was responsible for the firm's Banking, Asset Management, Retirement Plans, and Fixed and Variable Products.
Mr. Craig earned his LLM in Securities Regulation from the Georgetown Law Center, JD from the University of Dayton School of Law, and his bachelor’s degree from the Wilmington College of Ohio.