C&L Society Charlotte Regional Seminar

Date

September 24, 2018

Location

Charlotte, NC

Early Bird Rates – Until 8/31/18

  • Industry Member $150
  • Counsel/Special Member $250
  • Non-Member $450
  • Regulator $50

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

Program

7:30am – 5:35pm

Registration Desk Hours

7:30am – 8:30am

Networking Breakfast

8:30am – 8:40am

Participants

Anne Tennant

Speaker

Anne Tennant

Managing Director & General Counsel

Morgan Stanley

8:40am – 9:25am

Keynote Address

9:20am – 10:40am

Participants

Jack Sena

Moderator

Jack Sena

Associate General Counsel, Head of the Regulatory Inquiries Group

Bank of America

Jack Sena’s Biography

10:40am – 11:00am

Networking Break

11:00am – 12:15pm

Morning Break-Out Session 1: Intersection of Banking and Wealth Management
Morning Break-Out Session 2: Privacy and Cybersecurity Issues

12:15pm – 1:30pm

Participants

David G. Leitch, Kenneth L. Miller

Speakers

David G. Leitch

Global General Counsel

Bank of America

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Co-Chairperson

1:30pm – 2:45pm

Afternoon Break-Out Session 1: Litigation and Arbitration
Afternoon Break-Out Session 2: CCO Roundtable

2:45pm – 3:15pm

Networking Break

3:15pm – 4:30pm

Participants

Katrina A. Carroll

Moderator

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Katrina A. Carroll’s Biography

4:30pm – 4:35pm

Participants

Kenneth L. Miller

Speaker

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Co-Chairperson

Kenneth L. Miller’s Biography

4:35pm – 5:35pm

Networking Reception

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 August 31, 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

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 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.