Reg BI – How Firms are Managing Ops Changes
The SEC's Regulation Best Interest (Reg BI) and Form CRS is one of the largest regulatory changes to the retail…
C&L New York Regional Seminar
Overview
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.
C&L New York Regional Seminar
Registration Closed
Overview
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.
Register
| 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 |
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
8:45am – 9:30am
Participants
Emily Westerberg Russell, Kevin Carroll
Speakers
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
Panelists
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
Panelists
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
12:05pm – 1:05pm
Sponsored by McGuire Woods LLP
Sponsored by McGuire Woods LLP
Participants
Cynthia B. Adams, Loretta E. Lynch
Moderator
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
Panelists
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
Panelists
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
Panelists
3:40pm – 4:25pm
Participants
George S. Canellos, Mei Lin Kwan-Gett, Steven Peikin
Speakers
4:25pm – 4:30pm
Participants
Brent H. Taylor
Speaker
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.
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.
Sponsorship
Questions? Contact Diana Serri at 212.313.1258.
Gold
Silver
Sponsors
SIFMA's Strategic Partners
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
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.