Overview

CubeThe C&L Society Charlotte 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 Charlotte Regional Seminar

Date

September 23, 2019

Location

Charlotte, NC

Pre-Conference Rates – Until 9/23/19

  • Industry Member $250
  • Counsel/Special Member $350
  • Non-Member $550
  • Regulator $50

Overview

CubeThe C&L Society Charlotte 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

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, Richard Best, Matthew T. Martens, Cece Baute Mavico, Lara Thyagarajan

Moderator

Jack Sena

Deputy General Counsel, Head of the Regulatory Inquiries Group

Bank of America

Jack Sena’s Biography

Panelists

Richard Best

Regional Director of Atlanta Office

U.S. Securities and Exchange Commission

Richard Best’s Biography

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

Lara Thyagarajan

Senior Vice President, Enforcement

Financial Industry Regulatory Authority (FINRA)

Lara Thyagarajan’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

Assistant General Counsel

Wells Fargo

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

Kristen Dugan, Anitra T. Cassas, Caroline Hall, John O’Neill, David M. Williams

Moderator

Kristen Dugan

Compliance and Operational Risk Executive

Bank of America Merrill Lynch

Kristen Dugan’s Biography

Panelists

Caroline Hall

Chief Compliance Officer and Deputy General Counsel

Janney Montgomery Scott

Caroline Hall’s Biography

John O’Neill

Chief Compliance Officer

LPL Financial LLC

John O’Neill’s Biography

David M. Williams

Chief Compliance Officer, Retail Compliance & Senior Vice President

Wells Fargo Advisors

David M. Williams’s Biography

12:15pm – 1:30pm

Sponsored by McGuireWoods LLP

Sponsored by McGuireWoods LLP

Participants

Douglas R. Edwards, Ilene Marquardt

Speakers

Douglas R. Edwards

Executive Vice President and Interim General Counsel

Wells Fargo

Douglas R. Edwards’s Biography

Ilene Marquardt

Associate General Counsel

Wells Fargo Bank, N.A.

Ilene Marquardt’s Biography

1:30pm – 2:45pm

Participants

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

Moderator

David C. Heaton

Deputy General Counsel

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, Charlie George, Jeffrey M. King, 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

Charlie George

Senior Vice President, Group Financial Crimes Manager

Wells Fargo Bank

Charlie George’s Biography

Jeffrey M. King

Associate General Counsel & Managing Director

Bank of America Merrill Lynch

Jeffrey M. King’s Biography

2:45pm – 3:15pm

Sponsored by EY

Sponsored by EY

3:15pm – 4:30pm

Participants

Michelle Kelley, Julie Bernard, Neil T. Bloomfield, Christine Frye, Kevin Zerrusen

Moderator

Michelle Kelley

Senior Vice President & Associate General Counsel

LPL Financial LLC

Michelle Kelley’s Biography

Panelists

Julie Bernard

Principal, Deloitte Risk and Financial Advisory

Deloitte & Touche LLP

Julie Bernard’s Biography

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

Kevin Zerrusen

Senior Advisor to the Chairman, Cybersecurity Policy

U.S. Securities and Exchange Commission

Kevin Zerrusen’s Biography

4:30pm – 4:35pm

Participants

Kenneth L. Miller

Speaker

Kenneth L. Miller

Deputy General Counsel

Bank of America

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 a room block at the Ritz-Carlton.

To make a reservation, please click here.

Guests can also call 1-800-241-3333 and ask for the SIFMA event rate.

Rates will 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.

Group rates are only valid through  Friday, August 30, 2019 5:00 PM EST, but rooms are limited and only available on a first-come, first-served basis. They may sell out early!

Hotel reservations must match to a conference registration by August 29, 2019.  If names do not match and are not registered by August 29, 2019, your hotel reservation is subject to be canceled.

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 and Registration 
Contact Evan Grogan at 212.313.1134

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. View our Code of Conduct and anonymous incident report form.

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.