C&L Society Breakfast Series

Overview

Join the SIFMA Compliance & Legal Society at one of our topical networking breakfasts. Registration is now open for the next breakfast, taking place in Minnesota.

Newly added:
Register for the Women’s Twin Cities Networking Reception the evening before at the Minneapolis Club.  Separate registration is required. Click here for more information: https://www.sifma.org/event/womens-networking-reception

 

Program

7:00am – 10:15am

Registration Desk Hours

7:00am – 7:55am

Networking Breakfast

7:55am – 8:00am

Participants

Joe Fleming

Speaker

Joe Fleming

Chief Compliance Officer

Ameriprise Financial, Inc.

8:00am – 9:00am

Participants

Ira D. Hammerman, Daniel Gregus, Jennifer Luginbill, CRCP, Max Zappia

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Daniel Gregus

National Associate Director of the Clearance and Settlement Examination Program

U.S. Securities and Exchange Commission

Jennifer Luginbill, CRCP

Associate District Director

FINRA

Max Zappia

Deputy Commissioner of Financial Institutions Division

Minnesota Department of Commerce

9:00am – 9:15am

Networking Break

9:15am – 10:15am

Participants

Kevin J. Armstrong, Andrea Golis, Julie H. Firestone, Stephanie Rustad

Moderator

Kevin J. Armstrong

General Counsel

Panelists

Andrea Golis

Chief Compliance Officer

Thrivent Financial

Julie H. Firestone

Senior Counsel

Norton Rose Fulbright LLP

Stephanie Rustad

Vice President, Compliance Operations

Ameriprise Financial, Inc.

10:15am – 10:15am

Program Concludes

Venue

Ameriprise Financial Inc

901 3rd Ave S
Minneapolis, MN 55402