C&L Society New York Regional Seminar

Date

November 01, 2017

Location

New York, NY

Overview

Join several hundred of your colleagues at the C&L Society Regional Seminar in New York City on November 1st at the Grand Hyatt. This one day seminar will feature presentations by leading securities regulators and industry professionals. CLE credits will be offered.

Topics Include:

  • Corporate and Investment Bank Current Issues
  • Current Issues in Wealth Management & Investment Advisory
  • Washington Update
  • Sales & Trading
  • Hot Topics in Compliance
  • Ethics
  • Enforcement

Pricing

Industry Member
Early Bird Rates $325
Pre-Conference Rates $450
On-Site Rates $550
Counsel Member
Early Bird Rates $450
Pre-Conference Rates $650
On-Site Rates $750
Special Member
Early Bird Rates $450
Pre-Conference Rates $650
On-Site Rates $750
Regulator
Early Bird Rates $50
Pre-Conference Rates $50
On-Site Rates $50
Non-Member
Early Bird Rates $700
Pre-Conference Rates $850
On-Site Rates $950
Pricing
Industry Member Counsel Member Special Member Regulator Non-Member
Early Bird Rates $325 $450 $450 $50 $700
Pre-Conference Rates $450 $650 $650 $50 $850
On-Site Rates $550 $750 $750 $50 $950

Program

8:00am – 5:40pm

Registration Desk Hours

8:00am – 8:30am

Sponsored by: Sidley Austin LLP

Sponsored by: Sidley Austin LLP

8:30am – 8:35am

Participants

Garry J. Stegeland

Speaker

Garry J. Stegeland

Senior Vice President & Chief Compliance Officer

Stifel Financial Corp.

Seminar Co-Chairperson

8:35am – 9:20am

Participants

Christian T. Kemnitz, James McDonald, Steven Schwartz

Speakers

Christian T. Kemnitz

Partner

Katten Muchin Rosenman LLP

James McDonald

Director, Division of Enforcement

U.S. Commodity Futures Trading Commission

Steven Schwartz

Executive Director, Global Head of Enforcement

CME Group

9:20am – 10:35am

Participants

Scott W. Anderson, Steven R. Burwell, Gina E. Hyde, Yoon-Young Lee, Allen Meyer

Moderator

Scott W. Anderson

Managing Director, Americas Head of Investment Bank Compliance & Operations Risk Control

UBS Financial

Panelists

Steven R. Burwell

Managing Director and Associate General Counsel

Deutsche Bank

Gina E. Hyde

Chief Compliance Officer, Capital Markets

Stifel Financial Corp.

Yoon-Young Lee

Partner

WilmerHale

Allen Meyer

Partner

Oliver Wyman

Participants

Jack McGuire, Brian F. Amery, Lisa M. Francomano, Julie M. Riewe, Jessica M. Phillips, Michael D. Solomon

Moderator

Jack McGuire

Managing Director/Deputy General Counsel, Director Of Litigation

Oppenheimer

Panelists

Brian F. Amery

Principal

Bressler, Amery & Ross, P.C.

Lisa M. Francomano

Executive Director, Chief Compliance Officer, Advisory Business

UBS

Julie M. Riewe

Partner

Debevoise & Plimpton

Jessica M. Phillips

Managing Director & Associate General Counsel

JPMorgan Chase & Co.

Michael D. Solomon

Senior Vice President and Senior Regional Director

FINRA

10:35am – 10:55am

Sponsored by: EY

Sponsored by: EY

10:55am – 11:55am

Participants

Ira D. Hammerman, Peggy Ho, Paul N. D. Thornell, Joe Wall

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Panelists

Peggy Ho

EVP, Deputy General Counsel

LPL Financial LLC

Paul N. D. Thornell

Managing Director, Federal Government Affairs

Citigroup

Joe Wall

Vice President, Office of Government Affairs

Goldman Sachs

11:55am – 12:55pm

Sponsored by: McGuireWoods LLP

Sponsored by: McGuireWoods LLP

12:55pm – 2:10pm

Participants

Paul Ayd, Joshua Klein, Sean C. Davy, Mark E. Wolfe, Michael D. Wolk

Moderator

Paul Ayd

Chief Compliance Officer – Capital Markets

Stifel Financial Corp.

Panelists

Joshua Klein

Partner

Petrillo Klein & Boxer LLP

Sean C. Davy

Managing Director, Capital Markets

SIFMA

Mark E. Wolfe

Executive Director, Equities Compliance

J.P. Morgan Securities LLC

Michael D. Wolk

Partner

Sidley Austin LLP

Participants

Howard R. Plotkin, Ornella Bergeron, Jennifer Woods Burke, Esq., Ben A. Indek, Douglas Siegel

Moderator

Howard R. Plotkin

Managing Director & U.S. Chief Compliance Officer

Royal Bank of Canada

Panelists

Ornella Bergeron

Senior Vice President, Risk Oversight & Operational Regulation

FINRA

Jennifer Woods Burke, Esq.

Regulatory Counsel

Hennion & Walsh, Inc.

Ben A. Indek

Partner

Morgan, Lewis & Bockius

Douglas Siegel

Managing Director & Chief Compliance Officer

Oppenheimer

2:10pm – 3:10pm

Participants

Michelle Rhee, Thomas J. Hennessey, Noreen Kelly, Ilene Marquardt, James Q. Walker

Moderator

Michelle Rhee

Associate General Counsel

Bank of America

Panelists

Thomas J. Hennessey

Partner

Morgan, Lewis & Bockius LLP

Noreen Kelly

Partner

McGuireWoods LLP

Ilene Marquardt

Head of Litigation & Regulatory

UBS

James Q. Walker

Partner

Richards Kibbe & Orbe LLP

3:10pm – 3:30pm

3:30pm – 4:30pm

Participants

Joshua E. Levine, J. Bradley Bennett, Andrew J. Ceresney, Scott W. Friestad, Jessica Hopper, Manal Sultan

Moderator

Joshua E. Levine

Managing Director and General Counsel – ICG Regulatory Enforcement

Citigroup

Panelists

J. Bradley Bennett

Partner

Baker Botts LLP

Andrew J. Ceresney

Partner

Debevoise & Plimpton

Scott W. Friestad

Associate Director, Division of Enforcement

U.S. Securities and Exchange Commission

Jessica Hopper

Senior Vice President, Deputy Chief of Enforcement, Regional Enforcement

FINRA

Manal Sultan

Deputy Director, Division of Enforcement

U.S. Commodity Futures Trading Commission

4:30pm – 4:40pm

Participants

Brent H. Taylor

Speaker

Brent H. Taylor

Managing Director & General Counsel

UBS

4:40pm – 5:40pm

Sponsored by: Consilio

Sponsored by: Consilio

Venue

Grand Hyatt New York

109 East 42nd Street
New York, NY 10017

View on Google Maps

Experience spacious guestrooms, top dining, and more at Grand Hyatt New York, centrally located in the heart of New York City, New York.

Picture of venue

Hotel Accommodations

SIFMA has reserved a block of rooms at the Grand Hyatt New York.

To make a hotel reservation, please click here. or use the link below:

https://aws.passkey.com/go/CandLNewYorkRegionalSeminar 

You may also contact The Grand Hyatt reservations department at 1-888-591-1234. Please reference the SIFMA Group Rate when speaking to a reservationist.

Rates will start at $319 per night and are quoted exclusive of applicable state and local tax (currently 14.75% and $3.50 occupancy charge).

Please note that the group rates are good through October 17, 2017 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.

Book a Room

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 Liz Pierce at 212.313.1173.

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Jeana Dollear at 212.313.1263.

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:

  • California
  • Colorado
  • Florida
  • New Jersey
  • New York