Building Enterprise Resilience
Cyber incidents pose a threat to the stability of the global financial system. A significant cyber incident, if not properly…
The C&L Society New York Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas.
The C&L Society New York Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas.
Early Bird Rates | $325 |
---|---|
Pre-Conference Rates | $450 |
On-Site Rates | $550 |
Early Bird Rates | $650 |
---|---|
Pre-Conference Rates | $800 |
On-Site Rates | $900 |
Early Bird Rates | $50 |
---|---|
Pre-Conference Rates | $50 |
On-Site Rates | $50 |
Member | Non-Member | Regulator | |
---|---|---|---|
Early Bird Rates | $325 | $650 | $50 |
Pre-Conference Rates | $450 | $800 | $50 |
On-Site Rates | $550 | $900 | $50 |
Early Bird Rates End October 4, 2019
Please note: If you became a C&L member within the past 12 months, please contact [email protected] to make sure you are receiving the correct registration pricing.
8:00am – 5:30pm
8:00am – 8:35am
Sponsored by Sidley Austin LLP
8:35am – 8:45am
Garry J. Stegeland
Senior Vice President & Chief Compliance Officer
8:45am – 9:30am
Emily Westerberg Russell, Kevin Carroll
Chief Counsel of the Division of Trading and Markets
Deputy General Counsel, Litigation and Private Client (Legal)
9:30am – 10:30am
Tracy Calder, Christina Dugger, Ben A. Indek, Hank Sanchez, Esq., Douglas Siegel, William St. Louis
Managing Director & Chief Compliance Officer
10:30am – 10:50am
Sponsored by Moore & Van Allen
10:50am – 12:05pm
Elaine Mandelbaum, Ava E. Lias-Booker, María D. Meléndez, Anne Robinson,
Managing Director, General Counsel and Corporate Secretary
Frederic Krieger, Ben Hoffart, Vaishali Javeri, Angie Karna, Paul D. Taberner
12:05pm – 1:05pm
Sponsored by McGuire Woods LLP
Cynthia B. Adams, Loretta E. Lynch
Managing Director, Litigation, Regulatory and Employment Legal
1:05pm – 2:05pm
Ira D. Hammerman, Scott Eckel, Jesse Hill, Peggy Ho
Vice President, Legislative and Regulatory Affairs
2:05pm – 3:20pm
, Anna Pacewicz Hill, Christine M. Lombardo, Karim Lynn, Michael Rufino
Senior Vice President & Deputy General Counsel
Scott W. Anderson, Yoon-Young Lee, Darian Futrell, Kersti Hanson, Erika Rose
Managing Director Americas Head of Investment Bank Compliance & Operational Risk Control
3:40pm – 4:25pm
George S. Canellos, Mei Lin Kwan-Gett, Steven Peikin
Deputy General Counsel & Head of Global Litigation
4:25pm – 4:30pm
Brent H. Taylor
1535 Broadway
New York, NY 10036
Surround yourself with the sights and sounds of the city at New York Marriott Marquis. Get relaxed and energized simultaneously as you step into some of the largest guest rooms in NYC, amid the hustle and bustle of famed Broadway.
SIFMA has reserved a block of rooms at the New York Marriott Marquis. Rates will start at $359 per night and are quoted exclusive of applicable room tax, applicable service/hotel-specific fees or other miscellaneous taxes.
Please email C&L Society at [email protected] with the below information to secure a room:
Please note that the group rates are good through October 4th, but rooms are limited and only available on a first-come, first-served basis–they may sell out early! Once the block is sold out, the hotel’s market price applies regardless of the date booking. Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.
Download and print the 2018 program.
Questions? Contact Diana Serri at 212.313.1258.
Note: Select general sessions of the C&L New York Regional Seminar are open to the press, however the breakout sessions will be closed.
Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134.
Policy
View SIFMA’s official press policy.
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. CLE Credit cannot be certified after the Seminar adjourns.
When registering for the conference, make sure to check the box for CLE Credit. There is an additional charge of $75 for CLE Credit and you may select up to three states to receive CLE credit.
SIFMA will seek CLE Credit for this program in the following states:
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. View our Code of Conduct and anonymous incident report form.
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.
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