Overview

Co-hosted by the American Institute of Certified Public Accountants (AICPA) and the SIFMA Financial Management Society (SIFMA FMS), the National Conference on the Securities Industry features senior executives and regulators on the latest developments in securities regulation, auditing and accounting requirements.

Gain insight into regulatory and industry initiatives for the coming year with:

  • A senior executive’s view of the securities industry
  • The analyst perspective of the banking and securities industries
  • Recent and pending accounting and auditing pronouncements from FASB and industry experts
  • PCAOB feedback on inspections of broker-dealer audits
  • Open Q&A session with representatives from the SEC, FINRA and CFTC

2018 Featured Speakers

AICPA and SIFMA FMS National Conference on the Securities Industry

Date

October 17 - October 18, 2018

Location

New York, NY or Webcast

Hosted by

AICPA and SIFMA FMS

Overview

Co-hosted by the American Institute of Certified Public Accountants (AICPA) and the SIFMA Financial Management Society (SIFMA FMS), the National Conference on the Securities Industry features senior executives and regulators on the latest developments in securities regulation, auditing and accounting requirements.

Gain insight into regulatory and industry initiatives for the coming year with:

  • A senior executive’s view of the securities industry
  • The analyst perspective of the banking and securities industries
  • Recent and pending accounting and auditing pronouncements from FASB and industry experts
  • PCAOB feedback on inspections of broker-dealer audits
  • Open Q&A session with representatives from the SEC, FINRA and CFTC

2018 Featured Speakers

Program

8:00am – 5:00pm

Registration Desk Hours

8:00am – 8:35am

Sponsored by Citrin Cooperman 

Sponsored by Citrin Cooperman 

8:35am – 8:45am

Participants

Anthony Stucchio

Speaker

Anthony Stucchio

Managing Director, COO- DCRO America's Head & Chief Operations Officer

Deutsche Bank Securities Inc.

Anthony Stucchio’s Biography

8:45am – 9:35am

Participants

Lisa Kidd Hunt

Speaker

Lisa Kidd Hunt

Executive Vice President, Business Initiatives

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

9:35am – 10:25am

Brad was a leading analyst covering the financial services industry and is now a professor at NYU’s Leonard N. Stern School of Business where he teaches a course entitled: “Managing…

Brad was a leading analyst covering the financial services industry and is now a professor at NYU’s Leonard N. Stern School of Business where he teaches a course entitled: “Managing Financial Businesses”. The course examines business model, economic drivers and management challenges of four segments of the financial services industry. He still follows the financial industry and will provide his views and insights around the economic and regulatory implications that impact it.

Participants

Charles Hintz

Speaker

10:25am – 10:45am

Networking Break

10:45am – 12:00pm

The tax reform bill was enacted very quickly and many industry professionals are still trying to assess its impact.   In addition to offering insight on drivers behind the bill, this…

The tax reform bill was enacted very quickly and many industry professionals are still trying to assess its impact.   In addition to offering insight on drivers behind the bill, this panel of tax experts will explain how the bill affects both financial service firms as well as individuals.

Participants

Jeff Kummer, Jack Burns, Mark H. Price, Jon Zefi

Moderator

Jeff Kummer

Managing Director, Tax Policy, Washington National Tax

Deloitte Tax LLP, US

Jeff Kummer’s Biography

Panelists

Jack Burns

Executive Director

Ernst & Young LLP

Jack Burns’s Biography

Mark H. Price

Principal-In-Charge

KPMG LLP

Mark H. Price’s Biography

Jon Zefi

Principal, Tax Advisory Services

EisnerAmper LLP

Jon Zefi’s Biography

12:00pm – 12:45pm

Networking Lunch

12:45pm – 1:35pm

The global economy has a direct impact on the trading, investment banking, investment advisory and other businesses that securities firms conduct.   Senior finance executives need to pay attention to global…

The global economy has a direct impact on the trading, investment banking, investment advisory and other businesses that securities firms conduct.   Senior finance executives need to pay attention to global economic trends and events, so they can appreciate the impact on their firms.  Tariffs, immigration policy and events such as Brexit have an impact in Europe, the US and elsewhere.  David Kelly will provide his insights regarding the global economy and what may be ahead for us in the US.

Participants

Dr. David Kelly, CFA

Speaker

Dr. David Kelly, CFA

Managing Director, Chief Global Strategist

J.P. Morgan Asset Management

Dr. David Kelly, CFA’s Biography

1:45pm – 3:15pm

Many organizations function in the same way they have for decades, expecting that the next generation of workers will simply accept long-standing corporate values and norms. While it may be tempting…

Many organizations function in the same way they have for decades, expecting that the next generation of workers will simply accept long-standing corporate values and norms. While it may be tempting to think “this
is just the way we do things around here”, such a mindset lacks the imagination needed to create an organizational culture where the youngest generation of workers will wish to contribute their best—and where young staff and clients will be engaged. In this presentation, we will discuss the elements of a collaborative environment for the next generation of workers, and we will explore how you, as leaders, can help co-create an organization, and a team culture, that will more effectively engage your next generation of contributors, leaders, and clients.

Participants who complete this session will:
• Become aware of their own generational values that inform how they see the world and what they expect from organizations
• Learn about what informs other generations’ values and behaviors—ideally with less negative judgment
• Identify ways to be more flexible in their approach toward leadership, teamwork, and client management—so as to engage and retain the next generation of employees and clients

Participants

Yael C. Sivi

Speaker

Yael C. Sivi

Co-Founder and Managing Partner

Collaborative Coaching

Yael C. Sivi’s Biography

3:15pm – 3:35pm

3:35pm – 4:50pm

This panel brings together the senior heads of accounting policy and chief accounting officers from Goldman Sachs, Citibank, Jefferies and Edward Jones to discuss how recent accounting pronouncements and implementation…

This panel brings together the senior heads of accounting policy and chief accounting officers from Goldman Sachs, Citibank, Jefferies and Edward Jones to discuss how recent accounting pronouncements and implementation challenges are impacting the financial services industry.  This panel provides not only an accounting update, but also a robust best practices discussion regarding new FASB standards including, but not limited to:  Leasing, CECL, Hedge accounting, and Revenue Recognition.

Participants

Chip Currie, Timothy J. Bridges, Karen Dealey, Robert Traficanti, Keith Wenk

Moderator

Chip Currie

Partner, Assurance Services

PwC

Chip Currie’s Biography

Panelists

Timothy J. Bridges

Managing Director & Global Head of Accounting Policy

Goldman, Sachs & Co.

Timothy J. Bridges’s Biography

Karen Dealey

Managing Director & Principal Accounting Officer

Jefferies LLC

Karen Dealey’s Biography

Robert Traficanti

Global Head of Accounting Policy

Citi

Robert Traficanti’s Biography

Keith Wenk

Director of Regulatory & External Reporting

Edward Jones

Keith Wenk’s Biography

4:50pm – 5:00pm

Participants

Anthony Stucchio

Speaker

Anthony Stucchio

Managing Director, COO- DCRO America's Head & Chief Operations Officer

Deutsche Bank Securities Inc.

Anthony Stucchio’s Biography

5:00pm – 6:00pm

Sponsored by BDO 

Sponsored by BDO 

8:00am – 5:00pm

Registration Desk Hours

8:00am – 8:35am

Networking Breakfast

8:35am – 8:45am

Participants

Christopher Donovan

Speaker

8:45am – 9:35am

The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and the public interest by promoting informative, accurate, and…

The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and the public interest by promoting informative, accurate, and independent audit reports. The PCAOB also oversees the audits of brokers and dealers, including compliance reports filed pursuant to federal securities laws, to promote investor protection.

This fireside chat with Kathleen Hamm, from the PCAOB Board will provide not only an update of the PCAOB’s strategic direction and initiatives but also provide the opportunity to hear Kathleen’s unique perspectives regarding fintech, cybersecurity, regulatory, compliance and risk management issues facing the financial services industry from her previous experience at the US Treasury and Promontory.

Participants

Esther Mills, Kathleen Hamm

Moderator

Esther Mills

President and Founder

Accounting Policy Plus

Esther Mills’s Biography

Speaker

Kathleen Hamm

Board Member

PCAOB

Kathleen Hamm’s Biography

9:35am – 10:25am

Established in 1973, the Financial Accounting Standards Board (FASB) is the independent, private-sector, not-for-profit organization, that establishes financial accounting and reporting standards for public and private companies that follow Generally…

Established in 1973, the Financial Accounting Standards Board (FASB) is the independent, private-sector, not-for-profit organization, that establishes financial accounting and reporting standards for public and private companies that follow Generally Accepted Accounting Principles (GAAP).  The FASB is recognized by the Securities and Exchange Commission as the designated accounting standard setter for public companies and public business entities (i.e., broker/dealers…).

This fireside chat with Gary Buesser, from the FASB Board will provide a unique opportunity to provide an update of the FASB’s upcoming agenda in addition to his observations and perspectives regarding the role of accounting based upon his substantive industry experience at Lazard.

Participants

Jaime L. Eichen, Gary Buesser

Moderator

Jaime L. Eichen

Partner

EY

Jaime L. Eichen’s Biography

Speaker

10:25am – 10:45am

Networking Break

10:45am – 12:00pm

This session will discuss the role of the audit committee in governing the firm’s accounting policies, compliance, internal controls and risk management.

This session will discuss the role of the audit committee in governing the firm’s accounting policies, compliance, internal controls and risk management.

Participants

John Rhodes, William J. Ehrhardt, Robert H. Herz, Thomas Rollauer

Moderator

John Rhodes

Lead Client Service Partner

Deloitte & Touche LLP

John Rhodes’s Biography

Panelists

William J. Ehrhardt

Chairman of the Audit Committee

Oppenheimer Holdings Inc.

William J. Ehrhardt’s Biography

Robert H. Herz

Chairman of Audit Committee

Morgan Stanley

Robert H. Herz’s Biography

12:00pm – 12:45pm

Sponsored by EY 

Sponsored by EY 

12:45pm – 1:35pm

The Washington Update will provide the latest information on the legislative and regulatory actions relating to the financial services industry. It will also include perspectives on the potential impact of the…

The Washington Update will provide the latest information on the legislative and regulatory actions relating to the financial services industry. It will also include perspectives on the potential impact of the presidential election on the financial markets and what it could mean for the economy, firms and investors.

Participants

Carter K. McDowell

Speaker

Carter K. McDowell

Managing Director, Associate General Counsel

SIFMA

Carter K. McDowell’s Biography

1:45pm – 3:00pm

Technology has been transforming the way accountants do their job since the day the first adding machine was invented.   Computers have increased that change and the introduction of new ways…

Technology has been transforming the way accountants do their job since the day the first adding machine was invented.   Computers have increased that change and the introduction of new ways that computers can be used can dramatically impact how finance departments approach their tasks and the skill sets of the people they need to accomplish them.  This panel will discuss how cutting edge technologies such as s robotics and machine learning are transforming finance departments of financial firms.

Participants

Kevin Kroen, Anand Cheruvanky, Edmundo Costa, Earl Lafontant

Moderator

Kevin Kroen

Partner, US Financial Services Digital Labor Leader

PwC

Kevin Kroen’s Biography

Panelists

Anand Cheruvanky

Executive Director

JPMorgan Chase & Co.

Anand Cheruvanky’s Biography

Edmundo Costa

VP Alliances and Enterprise Accounts

Automation Anywhere

Edmundo Costa’s Biography

Earl Lafontant

Head of Regulatory Reporting

UBS

Earl Lafontant’s Biography

3:00pm – 3:20pm

Networking Break

3:20pm – 5:00pm

The banking, securities and commodities regulators have been working on measures that will impact that size and liquidity of brokerage firm balance sheets. These measures will directly impact return on equity…

The banking, securities and commodities regulators have been working on measures that will impact that size and liquidity of brokerage firm balance sheets. These measures will directly impact return on equity and will drive business decisions of the leadership of securities firms. This panel will explore those measures and their impact.

Participants

Michael P. Jamroz, Michael A. Macchiaroli, Thomas J. Smith, Bill Wollman

Moderator

Michael P. Jamroz

Retired Partner, Senior Advisor Under Contract

Deloitte & Touche LLP

Michael P. Jamroz’s Biography

Panelists

Michael A. Macchiaroli

Associate Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Michael A. Macchiaroli’s Biography

Thomas J. Smith

Deputy Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Thomas J. Smith’s Biography

Bill Wollman

Executive Vice President, Member Regulation - Regulatory Oversight & Operational Regulation

FINRA

Bill Wollman’s Biography

5:00pm – 5:05pm

Participants

Michael P. Jamroz

Speaker

Michael P. Jamroz

Retired Partner, Senior Advisor Under Contract

Deloitte & Touche LLP

Michael P. Jamroz’s Biography

Venue

New York Law School

185 West Broadway
New York, NY 10013

For nearly 125 years, New York Law School has been a leader in providing an innovative legal education, delivered by a world class faculty, in the most important city in the world.

Picture of venue

Hotel Accommodations

SIFMA does not have a room block for this meeting. If you need hotel accommodation, here are suggested properties near the conference venue:

The Roxy
2 Avenue of the Americas
New York, NY 10019
(212) 519-6600

Hilton Garden Inn Tribeca
39 Avenue of the Americas
New York, NY 10013
(212) 966-4091

The Frederick Hotel
95 West Broadway
New York, NY
(212) 566-1900

Related Resources

Accreditation

Attendees are eligible to receive 15.8 hours of Continuing Professional Education (CPE) Credits for this conference.

AICPA is an accredited CPE provider in the United States. For more information on CPE credits, contact AICPA Conferences at 888.777.7077.

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.