C&L Society Charlotte Regional Seminar

Date

September 18, 2017

Location

Charlotte, NC

Overview

Join us for another C&L Society Regional Seminar on September 18 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
  • CCO Roundtable
  • Cybersecurity
  • Artificial Intelligence & Big Data
  • Litigation & Arbitration
  • Hot Topics in AML and OFAC Compliance

Programs

7:30am – 5:30pm

Registration Desk Hours

7:30am – 8:30am

Continental Breakfast

8:30am – 8:45am

Participants

Tracy Calder

Speaker

Tracy Calder

Managing Director, Deputy Chief Legal & Risk Officer

LPL Financial LLC

Seminar Chairperson

8:45am – 9:30am

Participants

Burt White

Speaker

Burt White

Chief Investment Officer & Managing Director of Research

LPL Financial LLC

9:30am – 10:45am

Participants

Jack Sena, Scott W. Friestad, Amy Greer, Ghillaine A. Reid, Russell G. Ryan

Moderator

Jack Sena

Associate General Counsel, Head of the Regulatory Inquiries Group

Bank of America

Panelists

Scott W. Friestad

Associate Director, Division of Enforcement

U.S. Securities and Exchange Commission

Amy Greer

Partner

Morgan, Lewis & Bockius LLP

Ghillaine A. Reid

Partner

McGuireWoods LLP

Russell G. Ryan

Senior Vice President and Deputy Chief, Department of Enforcement

FINRA

10:45am – 11:00am

11:00am – 12:15pm

Participants

Kristen Dugan, Suzy Auletta, John Ivan, Corin R. Swift, Sam Turvey

Moderator

Kristen Dugan

Managing Director

Bank of America Merrill Lynch

Panelists

Suzy Auletta

Executive Vice President, Chief Compliance Officer

LPL Financial LLC

John Ivan

Senior Vice President, Chief Compliance Officer

Raymond James Financial, Inc.

Corin R. Swift

Partner

Sidley Austin LLP

Sam Turvey

Managing Director, Senior Compliance Officer

TIAA-CREF

11:00am – 12:15pm

Participants

Kevin Jacobsen, Jonathan G. Cederbaum, Kristopher Fador, James E. Powell, John Reed Stark

Moderator

Kevin Jacobsen

Executive Director, Cyber Investigations and Forensics

EY

Panelists

Jonathan G. Cederbaum

Partner

WilmerHale

Kristopher Fador

Senior Vice President and Business Information Security Officer

Bank of America

James E. Powell

Senior Vice President & Chief Information Security Officer

LPL Financial LLC

John Reed Stark

President

John Reed Stark Consulting, LLC

12:15pm – 1:30pm

Sponsored by McGuireWoods LLP

Sponsored by McGuireWoods LLP

1:30pm – 2:45pm

Participants

Amy Hinzmann, Cheryl L. Haas, Subramanian (Subbu) Raman, Thomas G. Trujillo

Moderator

Amy Hinzmann

Managing Director

Consilio LLC

Panelists

Cheryl L. Haas

Partner

McGuireWoods LLP

Subramanian (Subbu) Raman

Senior Manager

Deloitte

Thomas G. Trujillo

Deputy General Counsel and COO

Wells Fargo

Participants

Allison Patton, Michael A. Brady, Andrea M. Greene, Robert Rudnicki, Stefanie M. Wayco

Moderator

Allison Patton

Managing Director, Co-Head MSSB Litigation

Morgan Stanley

Panelists

Michael A. Brady

Member

Bass, Berry & Sims PLC

Andrea M. Greene

Principal

Bressler, Amery & Ross, P.C.

Robert Rudnicki

Vice President, Director of Litigation

Raymond James & Associates, Inc.

Stefanie M. Wayco

Associate

Greenberg Traurig, LLP

2:45pm – 3:10pm

Sponsored by EY

Sponsored by EY

3:10pm – 4:25pm

Participants

William J. Fox, Charlie George, Sarah D. Green, Robert (Bob) Molloy, Paul M. Tyrrell

Moderator

William J. Fox

Managing Director, Global Head of Financial Crimes Compliance

Bank of America

Panelists

Charlie George

Senior Vice President, Group Financial Crimes Manager

Wells Fargo Bank

Sarah D. Green

Senior Director of AML Compliance

FINRA

Robert (Bob) Molloy

Chief BSA/AML Officer

Raymond James Financial, Inc.

Paul M. Tyrrell

Partner

Sidley Austin LLP

4:25pm – 4:30pm

Participants

Kenneth L. Miller

Speaker

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Co-Chairperson

4:30pm – 5:30pm

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 Accomodations

SIFMA has reserved a block of rooms at The Ritz-Carlton, Charlotte, NC.

To make a hotel reservation, please click here. You will need to enter code: CKXCKXA

You may also contact The Ritz-Carlton reservations department at 1-800-241-3333. Please reference the SIFMA Group Rate when speaking to a reservationist.

Rates will start at $259 per night and are quoted exclusive of applicable room tax (currently 14.5%), applicable service/hotel-specific fees, or other miscellaneous taxes.

Please note that the group rates are good through August 29, 2017 but rooms are limited and only available on a first-come, first-served basis–they may sell out early! Once the block is sold out, the hotel’s market price applies regardless of the date booking.

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

Book a Room

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
  • Texas

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 Liz Pierce at 212.313.1173.

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Monica Ilyevsky at 212.313.1263.

Terms and Conditions

Policy
SIFMA reserves the right to remove, bar, or expel any attendee or guest from the conference for disruptive, disrespectful, or possibly illegal conduct, statements, or actions or for any reason which may tarnish the conference, SIFMA, or its members, in SIFMA’s sole discretion. SIFMA shall not refund any money paid for such attendee or guest to attend the conference, or for any travel expenses incurred to attend the conference.

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.