Overview

Join us for another C&L Society Regional Seminar on September 24 at the Ritz-Carlton in Charlotte, North Carolina. This one day seminar will feature presentations by leading securities regulators and industry professionals.

 

Topics Include:

  • Hot Topics in Securities Enforcement
  • Intersection of Banking and Wealth Management
  • Privacy and Cybersecurity Issues
  • Litigation & Arbitration
  • CCO Roundtable
  • Hot Topics in AML and OFAC Compliance

Featured Speakers

C&L Society Charlotte Regional Seminar

Date

September 24, 2018

Location

Charlotte, NC

Overview

Join us for another C&L Society Regional Seminar on September 24 at the Ritz-Carlton in Charlotte, North Carolina. This one day seminar will feature presentations by leading securities regulators and industry professionals.

 

Topics Include:

  • Hot Topics in Securities Enforcement
  • Intersection of Banking and Wealth Management
  • Privacy and Cybersecurity Issues
  • Litigation & Arbitration
  • CCO Roundtable
  • Hot Topics in AML and OFAC Compliance

Featured Speakers

Program

7:30am – 5:35pm

Registration Desk Hours

7:30am – 8:30am

8:30am – 8:40am

Participants

Anne Tennant

Speaker

Anne Tennant

Managing Director & General Counsel

Morgan Stanley Wealth Management

Anne Tennant’s Biography

8:40am – 9:25am

Participants

Lourdes Gonzalez, Anne Tennant

Speakers

Lourdes Gonzalez

Assistant Chief Counsel – Sales Practices, Division of Trading and Markets

U.S. Securities and Exchange Commission

Lourdes Gonzalez’s Biography

Anne Tennant

Managing Director & General Counsel

Morgan Stanley Wealth Management

Anne Tennant’s Biography

9:25am – 10:40am

Participants

Jack Sena, Lee Craven, Cece Baute Mavico, Fiona A. Philip, Susan A. Schroeder, Ronald E. Wood

Moderator

Jack Sena

Deputy General Counsel, Head of the Regulatory Inquiries Group

Bank of America

Jack Sena’s Biography

Panelists

Lee Craven

Enforcement Attorney, Securities Division

North Carolina Department of the Secretary of State

Lee Craven’s Biography

Cece Baute Mavico

Senior Vice President & Associate Counsel

LPL Financial LLC

Cece Baute Mavico’s Biography

Susan A. Schroeder

Executive Vice President and Head of Enforcement

FINRA

Susan A. Schroeder’s Biography

10:40am – 11:00am

Networking Break

11:00am – 12:15pm

Participants

Julie Hobbs, Beth Dorfman, Thomas McQuade, Edward P. O’Keefe, Michael D. Solomon, Donald Sutherland

Moderator

Julie Hobbs

Managing Director and General Counsel of Morgan Stanley Private Bank, National Association

Morgan Stanley

Julie Hobbs’s Biography

Panelists

Beth Dorfman

Managing Director, Legal

Bank of America Merrill Lynch

Beth Dorfman’s Biography

Thomas McQuade

Director, Risk and Compliance

Protiviti

Thomas McQuade’s Biography

Michael D. Solomon

Senior Vice President and Regional Director

FINRA

Michael D. Solomon’s Biography

Donald Sutherland

Senior Vice President and Senior Company Counsel

Wells Fargo & Company

Donald Sutherland’s Biography

Participants

Keith Agisim, Michael J. Adams, Neil T. Bloomfield, James E. Powell, John Reed Stark

Moderator

Keith Agisim

Associate General Counsel

Bank of America

Keith Agisim’s Biography

Panelists

Michael J. Adams

Partner

McGuireWoods

Michael J. Adams’s Biography

Neil T. Bloomfield

Litigation, Financial Regulatory Advice and Response

Moore & Van Allen PLLC

Neil T. Bloomfield’s Biography

James E. Powell

Senior Vice President & Chief Information Security Officer

LPL Financial LLC

James E. Powell’s Biography

12:15pm – 1:30pm

Sponsored  by McGuireWoods LLP

Sponsored  by McGuireWoods LLP

Participants

David G. Leitch, Kenneth L. Miller

Speakers

David G. Leitch

Global General Counsel

Bank of America

David G. Leitch’s Biography

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Co-Chairperson

Kenneth L. Miller’s Biography

1:30pm – 2:45pm

Participants

Allison Patton, Andrea M. Greene, T. Peter R. Pound, Alexander Sarafoglu, Ellen Sessions

Moderator

Allison Patton

Managing Director, Wealth Management Client Litigation Co-Head

Morgan Stanley

Allison Patton’s Biography

Panelists

Alexander Sarafoglu

Associate General Counsel

Bank of America Merrill Lynch

Alexander Sarafoglu’s Biography

Participants

Kristen Dugan, Suzy Auletta, Anitra T. Cassas, John O’Neill, Sam Turvey

Moderator

Kristen Dugan

Compliance and Operational Risk Executive

Bank of America Merrill Lynch

Kristen Dugan’s Biography

Panelists

Suzy Auletta

Senior Vice President and Chief Compliance Officer

Raymond James Financial, Inc.

Suzy Auletta’s Biography

John O’Neill

Chief Compliance Officer

LPL Financial LLC

John O’Neill’s Biography

Sam Turvey

Managing Director, Senior Compliance Officer

TIAA-CREF

Sam Turvey’s Biography

2:45pm – 3:15pm

Sponsored by EY

Sponsored by EY

3:15pm – 4:30pm

CDD: A Brave New World for Broker-Dealers Intersection of AML and Fraud Marijuana and Crypto: What is a Firm to Do? Sanctions Update Enforcement Trends: Novel Issues and Back to…

  • CDD: A Brave New World for Broker-Dealers
  • Intersection of AML and Fraud
  • Marijuana and Crypto: What is a Firm to Do?
  • Sanctions Update
  • Enforcement Trends: Novel Issues and Back to Basics

Participants

Katrina A. Carroll, Sarah D. Green, Sharon Cohen Levin, Robert (Bob) Molloy, Michael Rufino

Moderator

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Katrina A. Carroll’s Biography

Panelists

Sarah D. Green

Chief Financial Crimes Officer

Vanguard Group, Inc.

Sarah D. Green’s Biography

Sharon Cohen Levin

Partner

WilmerHale

Sharon Cohen Levin’s Biography

Robert (Bob) Molloy

Chief Anti-Money Laundering Officer

Raymond James Financial, Inc.

Robert (Bob) Molloy’s Biography

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

4:30pm – 4:35pm

Participants

Tracy Calder

Speaker

Tracy Calder

Chief Risk Officer

LPL Financial LLC

Tracy Calder’s Biography

4:35pm – 5:35pm

Sponsored by Consilio

Sponsored by Consilio

Venue

The Ritz-Carlton

201 East Trade Street
Charlotte, NC

Located in the heart of vibrant Uptown Charlotte, The Ritz-Carlton, is a luxury hotel that brings an urbane sophistication and an unforgettable experience just steps from the city’s cultural heart.

Picture of venue

Hotel Accommodations

SIFMA has a room block at the Ritz-Carlton Charlotte.

To make a reservation, please click here

Rates will start at $279 per night and are quoted exclusive of applicable room tax (currently 15.25%), applicable service/hotel-specific fees, or other miscellaneous taxes.

Please note that the link will only be permitted for the dates between September 23rd – 25th.  Should you need to reserve additional nights,please call reservations at 888-236-2427.

Group rates are only valid through September 7th, 2018 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

Related Resources

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:

  • California
  • Colorado
  • Florida
  • Missouri
  • New Jersey
  • New York
  • North Carolina
  • South Carolina

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.
When registering for the conference, make sure to check the box for CLE Credit. There is an additional charge of $75 for CLE Credit and you may select up to three states to receive CLE credit.

CLE Credit

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390.

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.