C&L New York Regional Seminar

Date

November 05, 2018

Location

New York, NY

Overview

Join several hundred of your colleagues at the C&L Society Regional Seminar in New York City on November 5th at the Marriott Marquis. This one day seminar will feature presentations by leading securities regulators and industry professionals. CLE credits will be offered.

Featured Speakers

Program

8:00am – 5:45pm

Registration Desk Hours

8:00am – 8:35am

Sponsored by Sidley Austin LLP

Sponsored by Sidley Austin LLP

8:35am – 8:45am

Participants

Barbara Armeli

Speaker

Barbara Armeli

Chief Compliance Officer

Charles Schwab & Co., Inc

Seminar Co-Chairperson

8:45am – 10:00am

Participants

Scott W. Anderson, Craig Barrack, Alison Higgins, Michael Kim, Yoon-Young Lee

Moderator

Scott W. Anderson

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

UBS

Scott W. Anderson’s Biography

Speakers

Craig Barrack

Managing Director & General Counsel

Citigroup

Craig Barrack’s Biography

Alison Higgins

Director

Barclays

Alison Higgins’s Biography

Michael Kim

Managing Director

Morgan Stanley

Michael Kim’s Biography

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Participants

Mara Galeano, Richard D. Marshall, Phil Martin, Kelly Orzillo, Anna Pacewicz Hill, Carlos Pelayo

Moderator

Mara Galeano

Managing Director & Deputy General Counsel

UBS Financial Services Inc.

Mara Galeano’s Biography

Panelists

Phil Martin

Managing Director, Compliance

Charles Schwab & Co., Inc

Phil Martin’s Biography

Kelly Orzillo

Deputy Director of Wealth Management Investment Advisory Compliance

UBS

Kelly Orzillo’s Biography

Anna Pacewicz Hill

Executive Director

Morgan Stanley

Anna Pacewicz Hill’s Biography

Carlos Pelayo

Wealth & Investment Management, Legal Executive

Bank of America Merrill Lynch

Carlos Pelayo’s Biography

10:00am – 10:20am

10:20am – 11:20am

Participants

Ira D. Hammerman, Andy Blocker, Jeffrey T. Brown, John Savercool, Michael Thompson

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Andy Blocker

Head of US Government Affairs

Invesco Ltd.

Andy Blocker’s Biography

Jeffrey T. Brown

Senior Vice President, Legislative and Regulatory Affairs

Charles Schwab & Co., Inc.

Jeffrey T. Brown’s Biography

John Savercool

Senior Lobbyist and Managing Director

UBS Americas, Inc.

John Savercool’s Biography

Michael Thompson

Managing Director and Head of U.S. Government Affairs

Goldman, Sachs & Co.

Michael Thompson’s Biography

11:20am – 12:05pm

Participants

Theodore R. Lazo, Brett Redfearn

Speakers

Theodore R. Lazo

Managing Director & Associate General Counsel, Equities

SIFMA

Theodore R. Lazo’s Biography

Brett Redfearn

Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Brett Redfearn’s Biography

12:05pm – 1:05pm

Sponsored by McGuireWoods LLP

Sponsored by McGuireWoods LLP

1:05pm – 2:20pm

Participants

Neil Rosolinsky, Vaishali Javeri, Angie Karna, Theodore R. Lazo, Kate Lesker

Moderator

Neil Rosolinsky

Deputy General Counsel, Litigation & Employment

Citizens Financial Group

Neil Rosolinsky’s Biography

Panelists

Vaishali Javeri

Director & Senior Counsel

Credit Suisse

Vaishali Javeri’s Biography

Angie Karna

Managing Director, Legal

Nomura Secuirties, Inc.

Angie Karna’s Biography

Theodore R. Lazo

Managing Director & Associate General Counsel, Equities

SIFMA

Theodore R. Lazo’s Biography

Kate Lesker

Associate, Litigation; SEC Enforcement; Government Enforcement

Skadden, Arps, Slate, Meagher & Flom LLP

Kate Lesker’s Biography

Participants

Joellen Valentine, Cheryl J. Scarboro, Daniel Silver, Michael Stone, James Q. Walker

Moderator

Joellen Valentine

Director, Associate General Counsel

Citigroup

Joellen Valentine’s Biography

Panelists

Daniel Silver

Litigation & Dispute Resolution Partner

Clifford Chance

Daniel Silver’s Biography

Michael Stone

Senior Fellow & Director of Compliance

Cardozo & Fordham Law Schools

Michael Stone’s Biography

2:20pm – 3:20pm

Participants

Susan Boudrot, Lisa M. Francomano, Ben A. Indek, Douglas Siegel, Michael D. Solomon

Moderator

Susan Boudrot

Managing Director and Global CCO

TD Ameritrade Holding Corporation

Susan Boudrot’s Biography

Panelists

Lisa M. Francomano

Executive Director and Chief Compliance Officer

UBS

Lisa M. Francomano’s Biography

Douglas Siegel

Managing Director & Chief Compliance Officer

Oppenheimer

Douglas Siegel’s Biography

Michael D. Solomon

Senior Vice President and Regional Director

FINRA

Michael D. Solomon’s Biography

3:20pm – 3:40pm

3:40pm – 4:40pm

Participants

Susan F. Axelrod, Joon H. Kim, Mark D. Knoll, Ilene Marquardt, Steven Peikin, Susan A. Schroeder

Moderator

Susan F. Axelrod

Chief Supervisory Officer

Merrill Lynch

Susan F. Axelrod’s Biography

Panelists

Ilene Marquardt

Head of Regulatory and Other Investigations

UBS

Ilene Marquardt’s Biography

Steven Peikin

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Steven Peikin’s Biography

Susan A. Schroeder

Executive Vice President and Head of Enforcement

FINRA

Susan A. Schroeder’s Biography

4:40pm – 4:45pm

Participants

Brent H. Taylor

Speaker

Brent H. Taylor

Managing Director & General Counsel

UBS Financial Services Inc.

Seminar Chairperson

4:45pm – 5:45pm

Sponsored by Consilio

Sponsored by Consilio

Venue

New York Marriott Marquis

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 Marriott Marquis New York.

For room accommodations at the Marriott Marquis, please reach out to C&L Society at [email protected] for further information and room rates.

Related Resources

Media

Note: The general sessions of the C&L New York Regional Seminar are open to the press, however the breakout sessions will be closed.

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy for this event.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Emily Reinus at 212.313.1339.

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