Overview

Network with colleagues and receive updates from industry practitioners and regulators at these morning events.

Registration is COMPLIMENTARY for SIFMA members; $50 for non-members.

If you are a member of the C&L Society and are not with a member firm, please contact [email protected]

 

 

C&L Denver Breakfast

Date

January 16, 2020

Location

Denver, CO

Hosted by

C&L Society

Overview

Network with colleagues and receive updates from industry practitioners and regulators at these morning events.

Registration is COMPLIMENTARY for SIFMA members; $50 for non-members.

If you are a member of the C&L Society and are not with a member firm, please contact [email protected]

 

 

Program

7:00am – 10:45am

Registration Desk Hours

7:00am – 7:55am

Networking Breakfast

7:55am – 8:00am

Participants

Ira D. Hammerman

Speaker

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

8:00am – 8:30am

Participants

Ira D. Hammerman, Bari M. Havlik

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Speaker

Bari M. Havlik

Executive Vice President, Member Supervision

FINRA

Bari M. Havlik’s Biography

8:30am – 9:30am

Participants

Gabriel Ayala, Chad Fleck, Stephanie Nicolas, Adam Warot, Orit Weinstein

Moderator

Gabriel Ayala

Managing Director, Investment Advisory Compliance

Charles Schwab & Co., Inc

Gabriel Ayala’s Biography

Panelists

Chad Fleck

Vice President, Advisory and Wealth Management Compliance

Fidelity Investments

Chad Fleck’s Biography

Stephanie Nicolas

Partner

WilmerHale

Stephanie Nicolas’s Biography

Adam Warot

Vice President & Associate Counsel

LPL Financial

Adam Warot’s Biography

Orit Weinstein

Director, Associate General Counsel

TIAA

Orit Weinstein’s Biography

9:30am – 9:45am

Networking Break

9:45am – 10:45am

Participants

Kevin A. Floyd, Satish M. Kini, Max Levine, Thor Nelson

Moderator

Kevin A. Floyd

Senior Counsel

Wells Fargo

Kevin A. Floyd’s Biography

Panelists

Max Levine

Managing Director, Deputy AML Compliance Officer

Charles Schwab & Co., Inc.

Max Levine’s Biography

Thor Nelson

Director of AML and Anti-Fraud

Ameriprise Financial, Inc.

Thor Nelson’s Biography

10:45am – 10:45am

Participants

Barbara Armeli

Speaker

Barbara Armeli

Chief Compliance Officer

Charles Schwab & Co., Inc

Barbara Armeli’s Biography