All members of the Operations & Technology Society (comprised of Corporate Actions Section, Credit & Margin Section, Customer Account Transfer…
C&L Society Denver Regional Seminar
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
|Early Bird Rates||$150|
|Early Bird Rates||$250|
|Early Bird Rates||$250|
|Early Bird Rates||$450|
|Early Bird Rates||$50|
|Industry Member||Counsel Member||Special Member||Non-Member||Regulators|
|Early Bird Rates||$150||$250||$250||$450||$50|
8:00am – 5:00pm
8:00am – 9:00am
9:00am – 9:05am
9:05am – 9:45am
Bari M. Havlik, Ira D. Hammerman
9:45am – 11:00am
Mai Klaassen, Jeff Coverdell, Kurt L. Gottschall, Donald Lopezi, David A. Zisser
11:00am – 11:20am
11:20am – 12:20pm
Greg Ruppert, Carlo V. di Florio, Henry Engler, Chris Favo, Christos Tsamadias
12:20pm – 1:20pm
1:20pm – 2:35pm
Kevin Carroll, Helen Barnhill, Lourdes Gonzalez, Robert Innes, Robert McCarthy
2:35pm – 2:55pm
2:55pm – 3:55pm
Tara Gilchrist, Gabriel Ayala, Jodee Brubaker-Rogen, Jennifer Klass, David Swafford
3:55pm – 4:00pm
David M. Williams
4:00pm – 5:00pm
9800 Schwab Way
Lone Tree, CO 80124
*approximately 20 minutes from downtown Denver.
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
Denver Marriott South at Park Meadows
Distance: 1.0 mile
10345 Park Meadows Drive
Hilton Garden Inn Denver South/Meridian
Distance: 1.4 miles
9290 Meridian Boulevard
Questions? Contact Diana Serri at 212.313.1258.
SIFMA's Strategic Partners
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.
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.
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.
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.
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:
- New Jersey
- New York