C&L Society St. Louis Regional Seminar

Date

June 12, 2018

Location

Maryland Heights, MO

Hosted by

Edward Jones

Overview

SIFMA’s Compliance & Legal Society 2018 Regional Seminars will begin in St. Louis at Edward Jones Conference Center on June 12. This one day seminar will feature presentations by leading securities regulators and industry professionals.

The Edward Jones Conference Center is located at:
130 Edward Jones Boulevard
Maryland Heights, MO 63043

Topics Include:

  • Getting to Yes: Compliance & Legal Support for the Business Areas
  • Regulatory – With a Focus on Exams
  • High Risk and Recidivist Brokers
  • Recruiting Protocol & Employment Risk
  • Big Data & Analytics – Using Data in your Surveillance Program

Program

8:00am – 5:30pm

Registration Desk Hours

8:00am – 8:35am

Networking Breakfast

8:35am – 8:45am

Participants

David Bartholomew

Speaker

David Bartholomew

Principal & Deputy General Counsel

Edward D. Jones & Co., L.P.

Seminar Chairperson

8:45am – 9:15am

Participants

Andrew M. Hartnett, Michael S. Pieciak

Speakers

Andrew M. Hartnett

Officer

Greensfelder, Hemker & Gale, P.C.

Michael S. Pieciak

Commissioner

Vermont Department of Financial Regulation

9:15am – 10:30am

Participants

Jane Matoesian, Brian F. Amery, Elizabeth O’Hanlon, Aisling Murphy, Nate Saint Victor

Moderator

Jane Matoesian

Senior Vice President and Managing Counsel

Benjamin F. Edwards & Co.

Panelists

Brian F. Amery

Principal

Bressler, Amery & Ross, P.C.

Elizabeth O’Hanlon

Senior Compliance Counsel

Edward D. Jones & Co., L.P.

Aisling Murphy

Chief Compliance Officer

Vanguard Group

Nate Saint Victor

Executive Director, Legal & Compliance

Morgan Stanley

10:30am – 10:50am

10:50am – 12:05pm

Participants

Merri Jo Gillette, Barry R. Goldsmith, Steven Levine, David M. Minnick, Scott M. Murray

Moderator

Merri Jo Gillette

Deputy General Counsel

Edward Jones

Panelists

Barry R. Goldsmith

Partner

Gibson, Dunn & Crutcher LLP

Steven Levine

Associate Regional Director, IA-IC Examinations

U.S. Securities and Exchange Commission

David M. Minnick

Commissioner of Securities

Missouri Secretary of State

Scott M. Murray

Senior Vice President, Director, Regulatory Compliance

Wells Fargo Clearing Services, LLC

12:05pm – 1:05pm

Sponsored by Greenberg Traurig

Sponsored by Greenberg Traurig

1:05pm – 2:05pm

Participants

Andy Small, Patricia Hatzfeld, Michael Freedman, Michael R. Manley, John Olsen

Moderator

Andy Small

Chief Compliance Officer

Royal Bank of Canada

Panelists

Patricia Hatzfeld

Director, Office of Sales Practice

FINRA

Michael Freedman

Assistant General Counsel, Regulatory

Raymond James Financial, Inc.

Michael R. Manley

Partner

Venable LLP

John Olsen

Chief Compliance Officer

Stifel, Nicolaus & Co., Inc.

2:05pm – 3:05pm

Participants

Lynette McCloud, Lisa Bertain, AnnMarie Davis, Carolyn D. Roch, Edward Walton

Moderator

Lynette McCloud

Deputy General Counsel

Edward D. Jones & Co., L.P.

Panelists

Lisa Bertain

Shareholder, Litigation

Keesal, Young & Logan, P.C.

AnnMarie Davis

Vice President, Employment Practices

Raymond James Financial Services, Inc

Carolyn D. Roch

Partner

Kuchler Polk Weiner

Edward Walton

Vice President

Ameriprise Financial, Inc.

3:05pm – 3:25pm

Sponsored by McGuireWoods

Sponsored by McGuireWoods

3:25pm – 4:25pm

Participants

Modesto Moya, Brad Ahrens, Stephen Clark, Jennifer S. Kingston, Chris Sherlock

Moderator

Modesto Moya

Senior Vice President

Wells Fargo Clearing Services, LLC

Panelists

Brad Ahrens

Vice President

Charles Schwab & Co., Inc

Stephen Clark

Director, Internal Investigations – Reactive

Fidelity Investments

Jennifer S. Kingston

Partner

Dowd Bennett LLP

Chris Sherlock

Senior Director, Surveillance

Ameriprise Financial, Inc.

4:25pm – 4:30pm

Participants

Rich Link

Speaker

Rich Link

Chief Compliance Officer

Edward D. Jones & Co., L.P.

Seminar Co-Chairperson

4:30pm – 5:30pm

Networking Reception

Venue

Edward Jones Conference Center

130 Edward Jones Boulevard
Maryland Heights, MO 63043

Hotel Accommodations

The Ritz-Carlton
100 Carondelet Plaza
St. Louis, MO 63105

To make a hotel reservation, please click here

If you would like to call in, please call 1-800-960-7056 Monday- Friday between 8:00am-6:00pm CST and ask for SIFMA C&L St. Louis Regional Seminar.

Rates will start at $249 per night and are quoted exclusive of applicable room tax (currently 16.929%), applicable service/hotel-specific fees, or other miscellaneous taxes.

Please note that the group rates are good through May 18, 2018 but rooms are limited and only available on a first-come, first-served basis- they may sell out early! The Hotel will honor the group rate after May 18th based on hotel availability.

Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.

Please contact the C&L Society at [email protected] with any questions.

Book a Room

Accredidation

CLE Credit

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. SIFMA will offer CLE credits for the following states:

  • California
  • Colorado
  • Florida
  • Missouri
  • New Jersey
  • New York
  • North Carolina
  • South Carolina
  • Texas

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.

CLE Credit

Terms and Conditions

Cancellations

No refunds will be made for cancellations after May 11, 2018. All cancellation requests are subject to a $100 processing fee. Cancellations prior to refund cutoff date must be in writing.

Policy

SIFMA reserves the right to remove, bar, or expel any attendee or guest from the conference for disruptive, disrespectful, or possibly illegal conduct, statements, or actions or for any reason which may tarnish the conference, SIFMA, or its members, in SIFMA’s sole discretion. SIFMA shall not refund any money paid for such attendee or guest to attend the conference, or for any travel expenses incurred to attend the conference. All information is subject to change, including date, location and continuing education credit offerings.

Please note that this is a public event and that by attending you consent to photography, audio recording, video recording and its/their release, publication, exhibition or reproduction to be used in any format including promotional purposes by SIFMA. You waive the right to review this content prior to publication; release SIFMA from any liability connected with the taking, recording, digitizing or publication of such content; and waive all rights to any claims for payment or royalties in connection with the use of the content.