C&L Society Denver Regional Seminar

Overview

SIFMA’s Compliance & Legal Society 2018 Regional Seminar series will take place at Charles Schwab on July 26, 2018. This one day seminar will feature presentations by leading securities regulators and industry professionals.

Charles Schwab is located at:
9800 Schwab Way
Lone Tree, Colorado 80124*

*approximately 20 minutes from downtown Denver

Discussion topics will include:

  • Regulatory and Litigation Update
  • Behavioral Science and Conduct Risk
  • SEC Best Interest Standard
  • Investment Adviser Considerations for Dual Registrants

Pricing

Industry Member
Early Bird Rates $150
Pre-Conference Rates $200
On-Site Rates $300
Counsel Member
Early Bird Rates $250
Pre-Conference Rates $300
On-Site Rates $400
Special Member
Early Bird Rates $250
Pre-Conference Rates $300
On-Site Rates $400
Non-Member
Early Bird Rates $450
Pre-Conference Rates $500
On-Site Rates $600
Regulators
Early Bird Rates $50
Pre-Conference Rates $50
On-Site Rates $50
Pricing
Industry Member Counsel Member Special Member Non-Member Regulators
Early Bird Rates $150 $250 $250 $450 $50
Pre-Conference Rates $200 $300 $300 $500 $50
On-Site Rates $300 $400 $400 $600 $50

Program

8:00am – 5:00pm

Registration Desk Hours

8:00am – 9:00am

Networking Breakfast

9:00am – 9:05am

Participants

Barbara Armeli

Speaker

Barbara Armeli

Chief Compliance Officer

Charles Schwab & Co., Inc

Barbara Armeli’s Biography

9:05am – 9:45am

Participants

Bari M. Havlik, Ira D. Hammerman

Speakers

Bari M. Havlik

Executive Vice President, Member Supervision

FINRA

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

9:45am – 11:00am

Participants

Mai Klaassen, Jeff Coverdell, Kurt L. Gottschall, Donald Lopezi, David A. Zisser

Moderator

Mai Klaassen

VP, Associate General Counsel

Charles Schwab & Co., Inc

Mai Klaassen’s Biography

Panelists

Jeff Coverdell

Senior Vice President and Managing Counsel

Wells Fargo Advisors

Jeff Coverdell’s Biography

Kurt L. Gottschall

Associate Regional Director for Enforcement

U.S. Securities and Exchange Commission

Kurt L. Gottschall’s Biography

Donald Lopezi

Senior Vice President and Regional Director

FINRA

Donald Lopezi’s Biography

David A. Zisser

Shareholder

Jones & Keller

David A. Zisser’s Biography

11:00am – 11:20am

Networking Break

11:20am – 12:20pm

Participants

Greg Ruppert, Carlo V. di Florio, Henry Engler, Chris Favo, Christos Tsamadias

Moderator

Greg Ruppert

Bank Secrecy Act Officer, Senior Vice President, Corporate Risk Management

Charles Schwab & Co., Inc.

Greg Ruppert’s Biography

Panelists

Carlo V. di Florio

Chief Risk Officer & Head of Strategy

FINRA

Carlo V. di Florio’s Biography

Henry Engler

Senior Editor, Regulatory Intelligence

Thomson Reuters

Henry Engler’s Biography

Chris Favo

Assistant General Counsel and Director of Investigations

3M

Chris Favo’s Biography

Christos Tsamadias

Managing Director, Head of Wealth Management US Audit

UBS Wealth Management

Christos Tsamadias’s Biography

12:20pm – 1:20pm

Networking Luncheon

1:20pm – 2:35pm

Participants

Kevin Carroll, Helen Barnhill, Lourdes Gonzalez, Robert Innes, Robert McCarthy

Moderator

Kevin Carroll

Managing Director and Associate General Counsel

SIFMA

Kevin Carroll’s Biography

Panelists

Helen Barnhill

Associate General Counsel

TIAA

Helen Barnhill’s Biography

Lourdes Gonzalez

Assistant Chief Counsel – Sales Practices, Division of Trading and Markets

U.S. Securities and Exchange Commission

Lourdes Gonzalez’s Biography

Robert Innes

Vice President and Associate General Counsel

Charles Schwab & Co., Inc.

Robert Innes’s Biography

Robert McCarthy

Senior Vice President & Director of Regulatory Policy

Wells Fargo Advisors

Robert McCarthy’s Biography

2:35pm – 2:55pm

Networking Break

2:55pm – 3:55pm

Participants

Tara Gilchrist, Gabriel Ayala, Jodee Brubaker-Rogen, Jennifer Klass, David Swafford

Moderator

Tara Gilchrist

Senior Vice President

LPL Financial LLC

Tara Gilchrist’s Biography

Panelists

Gabriel Ayala

Managing Director, Investment Advisory Compliance

Charles Schwab & Co., Inc

Gabriel Ayala’s Biography

Jodee Brubaker-Rogen

Chief Compliance Officer

Geneos Wealth Management, Inc.

Jodee Brubaker-Rogen’s Biography

David Swafford

Asset Management Compliance

Fidelity Investments

David Swafford’s Biography

3:55pm – 4:00pm

Participants

David M. Williams

Speaker

David M. Williams

Chief Compliance Officer, Retail Compliance & Senior Vice President

Wells Fargo Advisors

David M. Williams’s Biography

4:00pm – 5:00pm

Networking Reception

Venue

Charles Schwab

9800 Schwab Way
Lone Tree, CO 80124

*approximately 20 minutes from downtown Denver.

Hotel Accommodations

SIFMA will not have a dedicated hotel block for the Denver Regional Seminar, however, these are suggested hotels located near Charles Schwab (located at 9800 Schwab Way, Lone Tree, Colorado 80124):

Hampton Inn & Suites Denver/South-RidgeGate
Distance: 0.3 miles
10030 Trainstation Circle
(303) 790-4100

Denver Marriott South at Park Meadows
Distance: 1.0 mile
10345 Park Meadows Drive
(303) 925-0004

Hilton Garden Inn Denver South/Meridian
Distance: 1.4 miles
9290 Meridian Boulevard
(303) 824-1550

Related Resources

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.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

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.

Accreditation

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.

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.

SIFMA will seek CLE Credit for this program in the following states:

  • California
  • Colorado
  • Florida
  • New Jersey
  • New York

CLE Credit