Overview

CubeThe C&L Society Boston Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas.

C&L Society Boston Regional Seminar

Overview

CubeThe C&L Society Boston Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas.

Program

8:00am – 5:00pm

Registration Desk Hours

8:00am – 8:50am

Networking Breakfast

8:50am – 9:00am

Participants

Karen O’Toole

Speaker

Karen O’Toole

Senior Vice President & Deputy General Counsel

Fidelity Investments

Karen O’Toole’s Biography

9:00am – 9:30am

Participants

Paul G. Cellupica, Jeremiah Williams

Speakers

Paul G. Cellupica

Deputy Director of the Division of Investment Management

U.S. Securities and Exchange Commission

Paul G. Cellupica’s Biography

9:30am – 10:45am

Participants

David C. Heaton, Robert Baker, Stephanie A. Capistron, Maggie Carey, Thomas A. DeCapo, Kevin Kelcourse

Moderator

David C. Heaton

Deputy General Counsel

Bank of America Corporation

David C. Heaton’s Biography

Panelists

Robert Baker

Assistant Regional Director, Asset Management Unit

U.S. Securities and Exchange Commission

Robert Baker’s Biography

Stephanie A. Capistron

Partner

Dechert LLP

Stephanie A. Capistron’s Biography

Maggie Carey

Senior Vice President & Deputy General Counsel

Fidelity Investments

Maggie Carey’s Biography

Thomas A. DeCapo

Partner, Investment Management

Skadden, Arps, Slate, Meagher & Flom LLP

Thomas A. DeCapo’s Biography

Kevin Kelcourse

Associate Regional Director, Compliance Inspection and Examination

U.S. Securities and Exchange Commission

Kevin Kelcourse’s Biography

10:45am – 11:05am

11:05am – 12:20pm

Participants

Michael Freedman, James R. Carroll, Jessica Hopper, Paul G. Levenson, Christopher K. Williams

Moderator

Michael Freedman

SVP and Associate General Counsel, Regulatory Inquiries & Strategy

LPL Financial LLC

Michael Freedman’s Biography

Panelists

Jessica Hopper

Senior Vice President and Deputy Head of Enforcement

FINRA

Jessica Hopper’s Biography

Paul G. Levenson

Director of the Boston Regional Office

U.S. Securities and Exchange Commission

Paul G. Levenson’s Biography

Christopher K. Williams

Senior Legal Counsel

Fidelity Investments

Christopher K. Williams’s Biography

12:20pm – 1:20pm

Networking Luncheon

1:20pm – 2:35pm

Participants

Norman Ashkenas, David C. Boch, Mark Keene, Cece Baute Mavico, Peter Moores, Andrew Sidman

Moderator

Norman Ashkenas

Senior Vice President & Chief Compliance Officer

Fidelity Investments

Norman Ashkenas’s Biography

Panelists

Mark Keene

Managing Director & Associate General Counsel Legal

Bank of America Corporation

Mark Keene’s Biography

Cece Baute Mavico

Senior Vice President & Associate Counsel

LPL Financial LLC

Cece Baute Mavico’s Biography

Andrew Sidman

Principal, Securities

Bressler, Amery & Ross, P.C.

Andrew Sidman’s Biography

2:35pm – 2:55pm

Networking Break

2:55pm – 3:55pm

Participants

Rich Siegelman, Kerry Gendron, Ariel Gursky, Charles M. Post, Heather Egan Sussman

Moderator

Rich Siegelman

Senior Vice President, Business Integrity Compliance

Fidelity Investments

Rich Siegelman’s Biography

Panelists

Kerry Gendron

Managing Director, Head of Compliance Oversight

Morgan Stanley

Kerry Gendron’s Biography

Charles M. Post

Head of Legal Data Management & Advisory

BNY Mellon

Charles M. Post’s Biography

3:55pm – 4:00pm

Participants

David Sparks

Speaker

David Sparks

Senior Vice President & General Counsel

Raymond James Financial, Inc.

David Sparks’s Biography

4:00pm – 5:00pm

Venue

Boston Marriott Long Wharf

296 State St
Boston, MA 02109-2607

Hotel Accommodations

SIFMA has a room block at the Boston Marriott Long Wharf.

To make a reservation click here.

Rates will start at $389 per night and are quoted exclusive of applicable room tax (currently 14.45%) and $0.65 Greenway Tax, applicable service/hotel-specific fees, or other miscellaneous taxes.

Please note that the link will only be permitted for the dates between May 20th  – 22nd.  Should you need to reserve additional nights,please call reservations at (877) 901-2078.

Group rates are only valid through Monday, April 29, 2019  but rooms are limited and only available on a first-come, first-served basis. They may sell out early!

Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.

 

Book a Room

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

Accreditation

CLE Credit

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants. SIFMA will offer CLE credits for the following states:

  • Florida
  • New Jersey
  • New York

It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Panel attendance must be certified by each registrant seeking CLE credits. Attendees do not need to certify after each panel. CLE Credit cannot be certified after the Seminar adjourns.

CLE Credit

Terms and Conditions

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 be 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.
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