Overview

CubeThe C&L Society St. Louis 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 Society St. Louis Regional Seminar

Date

June 18, 2019

Location

Maryland Heights, MO

Hosted by

Edward Jones

Overview

CubeThe C&L Society St. Louis 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 – 5:35pm

Registration Desk Hours

8:00am – 8:35am

8:35am – 8:40am

Participants

Rich Link

Speaker

Rich Link

Chief Compliance Officer

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

Seminar Chairperson

Rich Link’s Biography

8:40am – 9:10am

Participants

Edward Wegener

Speaker

Edward Wegener

Senior Vice President and Midwest Regional Director

Financial Industry Regulatory Authority (FINRA)

Edward Wegener’s Biography

9:10am – 10:25am

Participants

Andrew M. Hartnett, James Browning, Shea Hicks, Edward Wegener, Kerry A. Zinn

Moderator

Panelists

James Browning

Deputy General Counsel

Stifel, Nicolaus & Co., Inc.

James Browning’s Biography

Shea Hicks

Managing Counsel

Wells Fargo & Co.

Shea Hicks’s Biography

Edward Wegener

Senior Vice President and Midwest Regional Director

Financial Industry Regulatory Authority (FINRA)

Edward Wegener’s Biography

10:25am – 10:35am

Sponsored by McGuireWoods 

Sponsored by McGuireWoods 

10:35am – 11:50am

Participants

David C. Prince, Daneen Downey, Christopher Lewis, Yoon-Young Lee, David M. Minnick

Moderator

David C. Prince

General Counsel and Chief Compliance Officer

Stephens Investment Management Group, LLC

David C. Prince’s Biography

Panelists

Daneen Downey

Deputy General Counsel & Chief Legal Counsel to Janney Capital Management LLC

Janney Montgomery Scott LLC

Daneen Downey’s Biography

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

David M. Minnick

Commissioner of Securities

Missouri Secretary of State

David M. Minnick’s Biography

11:50am – 12:05am

Participants

Ira D. Hammerman

Speaker

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

12:05pm – 1:05pm

Sponsored by Greenberg Traurig LLP

Sponsored by Greenberg Traurig LLP

1:05pm – 2:05pm

Participants

David Jonson, Mai Klaassen, Christopher Lazarini, Jane Matoesian, Gianluca Morello

Moderator

David Jonson

Senior Vice President and Head of Litigation and Arbitration

LPL Financial Holdings Inc.

David Jonson’s Biography

Panelists

Mai Klaassen

VP, Associate General Counsel

Charles Schwab & Co., Inc

Mai Klaassen’s Biography

Jane Matoesian

Senior Vice President and Managing Counsel

Benjamin F. Edwards & Co.

Jane Matoesian’s Biography

Gianluca Morello

Associate General Counsel

Raymond James Financial, Inc.

Gianluca Morello’s Biography

2:05pm – 3:05pm

Participants

Kelly Zigaitis, Hank Sanchez, Esq., Rick Sheehan, Kiran V. Somashekara, Scott Weindel

Moderator

Kelly Zigaitis

MD, Retail Supervision and Controls

TD Ameritrade

Kelly Zigaitis’s Biography

Panelists

Hank Sanchez, Esq.

Managing Director

Bates Group, LLC

Hank Sanchez, Esq.’s Biography

Rick Sheehan

Sr. Manager, CAS Compliance

RBC Wealth Management

Rick Sheehan’s Biography

Scott Weindel

Director, Field Supervision

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

Scott Weindel’s Biography

3:05pm – 3:25pm

Sponsored by Bass Berry & Sims 

Sponsored by Bass Berry & Sims 

3:25pm – 4:25pm

Participants

Aseel Rabie, Satish M. Kini, Thor Nelson, Gilbert Santos

Moderator

Aseel Rabie

Managing Director, Associate General Counsel

SIFMA

Aseel Rabie’s Biography

Panelists

Thor Nelson

Director of AML and Anti-Fraud

Ameriprise Financial, Inc.

Thor Nelson’s Biography

Gilbert Santos

Vice President, Anti-Money Laundering Officer

Pershing LLC, a BNY Mellon Company

Gilbert Santos’s Biography

4:25pm – 4:30pm

Participants

David Knight

Speaker

David Knight

Executive Vice President & General Counsel

Stephens, Inc.

Seminar Co-Chairperson

David Knight’s Biography

4:30pm – 5:30pm

Venue

Edward Jones Conference Center

130 Edward Jones Boulevard
Maryland Heights, MO 63043

Hotel Accommodations

SIFMA has a room block at The Ritz-Carlton, St. Louis.

100 Carondelet Plaza, St. Louis, MO 63105

To make a reservation, please email C&L Society at [email protected]

Guests can also call 1-314-863-6300 or 1-800-960-7056 and ask for the SIFMA event rate.

Rates will start at $199 per night and are quoted exclusive of applicable room tax (currently 16.488%), applicable service/hotel-specific fees, or other miscellaneous taxes.

Group rates are only valid through Friday, May 24, 2019 5:00 PM CST, but rooms are limited and only available on a first-come, first-served basis. They may sell out early!

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

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

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

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. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

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.