Overview

CubeThe 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.

C&L New York Regional Seminar

On-Site Rates – Until 10/22/19

  • Member $550
  • Non-Member $900
  • Regulator $50

Overview

CubeThe 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.

Program

8:00am – 5:30pm

Registration Desk Hours

8:00am – 8:35am

Sponsored by Sidley Austin LLP

Sponsored by Sidley Austin LLP

8:35am – 8:45am

Participants

Garry J. Stegeland

Speaker

Garry J. Stegeland

Senior Vice President & Chief Compliance Officer

Stifel Financial Corp.

Garry J. Stegeland’s Biography

8:45am – 9:30am

Participants

Emily Westerberg Russell, Kevin Carroll

Speakers

Emily Westerberg Russell

Chief Counsel of the Division of Trading and Markets

U.S. Securities and Exchange Commission

Emily Westerberg Russell’s Biography

Kevin Carroll

Managing Director and Associate General Counsel

SIFMA

Kevin Carroll’s Biography

9:30am – 10:30am

Reg BI/state fiduciary legislation Banking, Cannabis & Crypto Company Consolidated Audit Trail Compliance technology Cash sweep accounts Evolving role of compliance officers  

  • Reg BI/state fiduciary legislation
  • Banking, Cannabis & Crypto Company
  • Consolidated Audit Trail
  • Compliance technology
  • Cash sweep accounts
  • Evolving role of compliance officers

 

Participants

Tracy Calder, Christina Dugger, Ben A. Indek, Hank Sanchez, Esq., Douglas Siegel, William St. Louis

Moderator

Tracy Calder

Chief Risk Officer

LPL Financial LLC

Tracy Calder’s Biography

Panelists

Christina Dugger

Managing Director

J.P. Morgan Chase & Co.

Christina Dugger’s Biography

Hank Sanchez, Esq.

Managing Director

Bates Group, LLC

Hank Sanchez, Esq.’s Biography

Douglas Siegel

Managing Director & Chief Compliance Officer

Oppenheimer

Douglas Siegel’s Biography

William St. Louis

Senior Vice President and Regional Director

FINRA

William St. Louis’s Biography

10:30am – 10:50am

Sponsored by Moore & Van Allen

Sponsored by Moore & Van Allen

10:50am – 12:05pm

The D&I Landscape in Financial Services:  Benchmarks & Updates Leading Inclusively:  The General Counsel Perspective The Market View:  The Impact of Diversity & Corporate Social Responsibility on Investor Confidence Best…

  • The D&I Landscape in Financial Services:  Benchmarks & Updates
  • Leading Inclusively:  The General Counsel Perspective
  • The Market View:  The Impact of Diversity & Corporate Social Responsibility on Investor Confidence
  • Best Practices in Law Firm & In-House Inclusion Strategies
  • Owning It:  Unconscious Bias & Pipeline Issues

Participants

Elaine Mandelbaum, Ava E. Lias-Booker, Maria D. Melendez, Anne Robinson, Michael Sharp

Moderator

Elaine Mandelbaum

SIFMA C&L Society President

SIFMA

Elaine Mandelbaum’s Biography

Panelists

Anne Robinson

Managing Director, General Counsel and Corporate Secretary

Vanguard

Anne Robinson’s Biography

Michael Sharp

Executive Vice President,Secretary and General Counsel

Jefferies

Michael Sharp’s Biography

MIFID II Implementation Disclosure Rules, ETF Liquidity Rule and Best Execution (including Reg BI) Current Issues in Digital Assets, Cannabis and other emerging issues LIBOR transition Current regulatory issues in…

  • MIFID II Implementation
  • Disclosure Rules, ETF Liquidity Rule and Best Execution (including Reg BI)
  • Current Issues in Digital Assets, Cannabis and other emerging issues
  • LIBOR transition
  • Current regulatory issues in financing and trading oversight 

Participants

Frederic Krieger, Benjamin Hoffart, Vaishali Javeri, Angie Karna, Paul D. Taberner

Moderator

Panelists

Benjamin Hoffart

Vice President & Assistant General Counsel

Goldman Sachs & Co

Benjamin Hoffart’s Biography

Vaishali Javeri

Director & Senior Counsel

Credit Suisse

Vaishali Javeri’s Biography

Angie Karna

Managing Director, Legal

Nomura Secuirties, Inc.

Angie Karna’s Biography

Paul D. Taberner

Vice President & Senior Counsel, Legal Department

Citizens Financial Group, Inc.

Paul D. Taberner’s Biography

12:05pm – 1:05pm

Sponsored by McGuire Woods LLP

Sponsored by McGuire Woods LLP

Participants

Cynthia B. Adams, Loretta E. Lynch

Moderator

Cynthia B. Adams

Managing Director, Litigation, Regulatory and Employment Legal

Jefferies LLC

Cynthia B. Adams’s Biography

Speaker

1:05pm – 2:05pm

The upcoming 2020 election season that will impact the markets as well as Compliance and legal professionals who work at the financial institutions that serve the markets. Inside perspective on…

  • The upcoming 2020 election season that will impact the markets as well as Compliance and legal professionals who work at the financial institutions that serve the markets.
  • Inside perspective on the various Presidential candidates, their likelihood of winning the party nomination and the highest office, and their relevant policy proposals.
  • Key Senate races that could further change the balance of power in Washington.
  • Legislative and policy proposals currently under consideration by the Administration, Congress, and the regulatory agencies.

Participants

Ira D. Hammerman, Scott Eckel, Jesse Hill, Peggy Ho

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Scott Eckel

Vice President, Legislative and Regulatory Affairs

Charles Schwab

Scott Eckel’s Biography

Jesse Hill

Principal, Government and Regulatory Relations

Edward Jones

Jesse Hill’s Biography

Peggy Ho

EVP, Deputy General Counsel

LPL Financial LLC

Peggy Ho’s Biography

2:05pm – 3:20pm

SEC interpretation of Reg BI for investment advisers, including client profiling considerations and required disclosures Proposed state-law fiduciary regulations Advertisements and testimonials in the age of influencers Backtesting and projections,…

  • SEC interpretation of Reg BI for investment advisers, including client profiling considerations and required disclosures
  • Proposed state-law fiduciary regulations
  • Advertisements and testimonials in the age of influencers
  • Backtesting and projections, including unique considerations for dual hatted individuals
  • Complex products in advisory accounts and other wealth management considerations

Participants

Mara Galeano, Anna Pacewicz Hill, Christine M. Lombardo, Esq., Karim Lynn, Michael Rufino

Moderator

Mara Galeano

Managing Director & Deputy General Counsel

UBS Financial Services Inc.

Mara Galeano’s Biography

Panelists

Anna Pacewicz Hill

Executive Director

Morgan Stanley

Anna Pacewicz Hill’s Biography

Karim Lynn

Senior Vice President & Deputy General Counsel

Fidelity Investments

Karim Lynn’s Biography

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

Cannabis Stocks – Banking, research coverage and initial trading of cannabis companies Expansion of “Testing the Waters”  - provisions (Rule 163-B) – Direct listings, private funding Conflicts of Interest –…

  • Cannabis Stocks – Banking, research coverage and initial trading of cannabis companies
  • Expansion of “Testing the Waters”  – provisions (Rule 163-B) – Direct listings, private funding
  • Conflicts of Interest – Internal and external, impact of Reg BI
  • Insider Trading – Confidential communications in unauthorized mediums, gun-jumping

Participants

Scott W. Anderson, Yoon-Young Lee, Darian Futrell, Kersti Hanson, Erika Rose

Moderator

Scott W. Anderson

Managing Director Americas Head of Investment Bank Compliance & Operational Risk Control

UBS Financial Services Inc.

Scott W. Anderson’s Biography

Panelists

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Darian Futrell

Managing Director

Goldman Sachs

Darian Futrell’s Biography

Kersti Hanson

Assistant General Counsel

Bank of America Merrill Lynch

Kersti Hanson’s Biography

Erika Rose

Director, Banking Compliance

Barclays

Erika Rose’s Biography

3:20pm – 3:40pm

Sponsored by EY

Sponsored by EY

3:40pm – 4:25pm

Participants

George S. Canellos, Mei Lin Kwan-Gett, Steven Peikin

Speakers

Mei Lin Kwan-Gett

Deputy General Counsel & Global Head of Litigation & Regulatory Investigations

Citigroup Inc.

Mei Lin Kwan-Gett’s Biography

Steven Peikin

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Steven Peikin’s Biography

4:25pm – 4:30pm

Participants

Brent H. Taylor

Speaker

Brent H. Taylor

Compliance & Legal Executive Committee Member

SIFMA

Brent H. Taylor’s Biography

4:30pm – 5:30pm

Sponsored by Consilio

Sponsored by Consilio

Venue

New York Marriott Marquis - C&L Regional 2019

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.

Picture of venue

Hotel Accommodations

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:

  • Full Name
  • Email address
  • Check-in/Check-out Dates
  • Phone Number

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.

Media

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.

 

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. 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:

  • Florida
  • New Jersey
  • New York

CLE Credit

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. 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.