Overview

CubeThe SIFMA C&L Society Regional Seminar series gathers compliance and legal professionals from across 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.

Join us on September 23 for the SIFMA C&L Society Charlotte Regional Seminar at the Ritz-Carlton in Charlotte, North Carolina. This one-day seminar will feature presentations by leading securities regulators and industry professionals.

C&L Society Charlotte Regional Seminar

Date

September 23, 2019

Location

Charlotte, NC

Early Bird Rates – Until 8/23/19

  • Industry Member $200
  • Counsel/Special Member $300
  • Non-Member $500
  • Regulator $50

Overview

CubeThe SIFMA C&L Society Regional Seminar series gathers compliance and legal professionals from across 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.

Join us on September 23 for the SIFMA C&L Society Charlotte Regional Seminar at the Ritz-Carlton in Charlotte, North Carolina. This one-day seminar will feature presentations by leading securities regulators and industry professionals.

Program

7:30am – 5:35pm

Registration Desk Hours

7:30am – 8:30am

Sponsored by Moore & Van Allen

Sponsored by Moore & Van Allen

8:30am – 8:40am

Participants

Ilene Marquardt

Speaker

Ilene Marquardt

Associate General Counsel

Wells Fargo Bank, N.A.

Ilene Marquardt’s Biography

8:40am – 9:25am

Participants

Ira D. Hammerman, The Honorable Hester M. Peirce

Speakers

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

9:25am – 10:40am

Participants

Jack Sena, Matthew T. Martens, Cece Baute Mavico, Susan A. Schroeder

Moderator

Jack Sena

Deputy General Counsel, Head of the Regulatory Inquiries Group

Bank of America

Jack Sena’s Biography

Panelists

Matthew T. Martens

Partner

WilmerHale

Matthew T. Martens’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

Jeff Coverdell, Kenneth Crowley, Peter S. Fruin, Andrea M. Greene, Stefanie M. Wayco

Moderator

Jeff Coverdell

Senior Vice President and Managing Counsel

Wells Fargo Advisors

Jeff Coverdell’s Biography

Panelists

Kenneth Crowley

Executive Director

UBS Financial Services Inc.

Kenneth Crowley’s Biography

Stefanie M. Wayco

Partner

DLA Piper

Stefanie M. Wayco’s Biography

Participants

Anitra T. Cassas, Caroline Hall, John O’Neill

Panelists

Caroline Hall

Senior Vice President & Associate General Counsel

Raymond James Financial, Inc.

Caroline Hall’s Biography

John O’Neill

Chief Compliance Officer

LPL Financial LLC

John O’Neill’s Biography

12:15pm – 1:30pm

Sponsored by McGuireWoods LLP

Sponsored by McGuireWoods LLP

1:30pm – 2:45pm

Participants

David C. Heaton, John V. Ayanian, Katherine Ring, David Sparks, Corin R. Swift

Moderator

David C. Heaton

Associate General Counsel & Managing Director

Bank of America Corporation

David C. Heaton’s Biography

Panelists

Katherine Ring

SVP, Advisory CCO and Head of Product & Platform Compliance

LPL Financial LLC

Katherine Ring’s Biography

David Sparks

Senior Vice President & General Counsel

Raymond James Financial, Inc.

David Sparks’s Biography

Participants

Katrina A. Carroll, Autumn Hunter, Sharon Cohen Levin, Paul M. Tyrrell, Kerry A. Zinn

Moderator

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Katrina A. Carroll’s Biography

Panelists

Autumn Hunter

Associate General Counsel & Director

Bank of America

Autumn Hunter’s Biography

Sharon Cohen Levin

Partner

WilmerHale

Sharon Cohen Levin’s Biography

2:45pm – 3:15pm

Networking Break

3:15pm – 4:30pm

Participants

Michelle Kelley, Neil T. Bloomfield, Christine Frye

Moderator

Michelle Kelley

Senior Vice President & Associate General Counsel

LPL Financial LLC

Michelle Kelley’s Biography

Panelists

Neil T. Bloomfield

Litigation, Financial Regulatory Advice and Response

Moore & Van Allen PLLC

Neil T. Bloomfield’s Biography

Christine Frye

Senior Vice President and Chief Privacy Officer

Bank of America

Christine Frye’s Biography

4:30pm – 4:35pm

Participants

Kenneth L. Miller

Speaker

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Chairperson

SIFMA Compliance & Legal Society

Kenneth L. Miller’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 reserved a room block at the Ritz-Carlton Charlotte:

  • Rates start at $289 per night and are quoted exclusive of applicable room tax (currently 15.25%), applicable service/hotel-specific fees, or other miscellaneous taxes.
  • This reservation link is valid only for September 22-24, 2019.  Should you need to reserve additional nights, please call reservations at 888-236-2427.
  • Group rates are valid through 5:00 p.m. ET on Friday, August 30, 2019. Rooms are limited and available on a first-come, first-serve 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

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
  • 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 Evan Grogan at 212.313.1134

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

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.