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 Society Minneapolis Breakfast

Date

October 16, 2019

Location

Minneapolis, MN

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 – 10:40am

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.

Joe Fleming’s Biography

8:00am – 8:25am

Participants

Troy A. Paredes

Speaker

8:25am – 9:25am

Participants

Ira D. Hammerman, Steve Kelley, Jennifer Luginbill, Shamoil T. Shipchandler

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Jennifer Luginbill

Associate District Director

FINRA

Jennifer Luginbill’s Biography

Shamoil T. Shipchandler

Partner

Jones Day

Shamoil T. Shipchandler’s Biography

9:25am – 9:40am

Networking Break

9:40am – 10:40am

Participants

Troy A. Paredes, Theresa Seys, Sandra Smalley-Fleming, Lee Thoresen

Moderator

Panelists

Theresa Seys

Vice President and Chief Counsel

Ameriprise Financial, Inc.

Theresa Seys’s Biography

Lee Thoresen

Senior Counsel, Head of Regulatory and Transactional

RBC Wealth Management

Lee Thoresen’s Biography

10:40am – 10:40am

Participants

Joe Fleming

Speaker

Joe Fleming

Chief Compliance Officer

Ameriprise Financial, Inc.

Joe Fleming’s Biography

Venue

Ameriprise Financial Inc

901 3rd Ave S
Minneapolis, MN 55402