Overview

For 52 years, SIFMA’s C&L Annual Seminar has served as the preeminent event for compliance and legal professionals working in financial services. Throughout the three-day program, participants hear directly from industry leaders and regulators on the latest developments and trends and build professional relationships to collaborate better.

With focused discussions by noted keynote speakers and subject matter experts, attendees will have the opportunity to earn CLE credit, including diversity and ethics credit, and network with peers.

Discover the 2020 C&L program tracks here!

2020 Featured Speakers

D&I in C&L

 

What to Expect at C&L Annual

SIFMA C&L Annual Seminar

Date

March 15 - March 18, 2020

Location

Orlando, FL

Pre-Conference Rates – Until 3/18/20

  • Member $1070
  • Associate Member $1875
  • Regulator $470
  • Non Member $2099

Overview

For 52 years, SIFMA’s C&L Annual Seminar has served as the preeminent event for compliance and legal professionals working in financial services. Throughout the three-day program, participants hear directly from industry leaders and regulators on the latest developments and trends and build professional relationships to collaborate better.

With focused discussions by noted keynote speakers and subject matter experts, attendees will have the opportunity to earn CLE credit, including diversity and ethics credit, and network with peers.

Discover the 2020 C&L program tracks here!

2020 Featured Speakers

D&I in C&L

 

What to Expect at C&L Annual

Program

3:00pm – 8:00pm

Registration Desk Hours

3:00pm – 6:00pm

Exhibition Hall Hours

5:00pm – 6:00pm

All are welcome to join first time attendees of the C&L Annual Seminar and emerging leaders in the financial services industry for this networking reception.

All are welcome to join first time attendees of the C&L Annual Seminar and emerging leaders in the financial services industry for this networking reception.

6:30am – 7:30am

7:00am – 2:30pm

Registration Desk Hours

7:00am – 1:30pm

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors and update your professional headshot!

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors and update your professional headshot!

Whether it’s for LinkedIn, social media, or any other professional opportunity, a professional headshot offers participants an opportunity to convey a positive message about themselves to future clients, employers, and…

Whether it’s for LinkedIn, social media, or any other professional opportunity, a professional headshot offers participants an opportunity to convey a positive message about themselves to future clients, employers, and event participants.

Sponsored by:

KPMG LLP

 

 

7:00am – 8:00am

8:00am – 8:10am

Participants

Scott C. Kursman, Elaine Mandelbaum

Speakers

Scott C. Kursman

Managing Director and Chief Compliance Officer

Citigroup Global Markets, Inc. & Citibank, N.A. Swap Dealer

Seminar Chairperson

Scott C. Kursman’s Biography

Elaine Mandelbaum

General Counsel

Interactive Brokers

SIFMA C&L Society President

SIFMA

Elaine Mandelbaum’s Biography

8:10am – 8:35am

Participants

Commissioner Elad L. Roisman, Kenneth E. Bentsen, Jr.

Speakers

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

8:35am – 9:05am

Participants

Chairman Heath P. Tarbert, Joseph L. Seidel

Speakers

Chairman Heath P. Tarbert

Chairman and Chief Executive

U.S. Commodity Futures Trading Commission

Chairman Heath P. Tarbert’s Biography

Joseph L. Seidel

Chief Operating Officer

SIFMA

Joseph L. Seidel’s Biography

9:05am – 10:00am

Participants

Dan Gallagher, Robert L.D. Colby, Dorothy DeWitt, Maryann Kennedy, Brett Redfearn

Moderator

Dan Gallagher

Partner and Deputy Chair, Securities Department

WilmerHale

Former Commissioner

U.S. Securities and Exchange Commission

Dan Gallagher’s Biography

Panelists

Robert L.D. Colby

Executive Vice President and Chief Legal Officer

FINRA

Robert L.D. Colby’s Biography

Dorothy DeWitt

Director of the Division of Market Oversight (DMO)

U.S. Commodity Futures Trading Commission

Dorothy DeWitt’s Biography

Brett Redfearn

Director, Division of Trading and Markets

U.S. Securities and Exchange Commission (SEC)

Brett Redfearn’s Biography

10:00am – 10:30am

10:30am – 11:45am

Participants

Patricia Cowart, Richard W. Berry, Linda Drucker, Cheryl L. Haas, Bentley Stansbury

Moderator

Patricia Cowart

Senior Company Counsel

Wells Fargo Advisors

Patricia Cowart’s Biography

Panelists

Richard W. Berry

Executive Vice President and Director of Dispute Resolution

FINRA

Richard W. Berry’s Biography

Linda Drucker

Senior Legal Counsel

Bank of the West

Linda Drucker’s Biography

Bentley Stansbury

Shareholder and Executive Committee Member

Keesal, Young & Logan

Bentley Stansbury’s Biography

Participants

Darian Futrell, Gary N. Distell, Jodi Huckabee, Andrew J. Pitts, C.B. Richardson

Moderator

Darian Futrell

Managing Director

Goldman Sachs

Darian Futrell’s Biography

Panelists

Gary N. Distell

Chief Compliance Officer, Senior Managing Director and Senior Regulatory Counsel

Guggenheim Securities, LLC

Gary N. Distell’s Biography

Jodi Huckabee

Managing Director, Global Head Banking Compliance, Conflicts Management and Control Room

Barclays

Jodi Huckabee’s Biography

C.B. Richardson

Managing Director, Global CCO of Banking, Capital Markets & Advisory, Research and Control Group

Citigroup Global Markets, Inc.

C.B. Richardson’s Biography

Participants

Knut Nodeland, Robert Cohen, Una Dean, Joseph DeMarco, Pablo Martinez

Moderator

Knut Nodeland

SVP and Information Security Executive

Bank of America Corporation

Knut Nodeland’s Biography

Panelists

Pablo Martinez

Fidelity Investments

Head of Cyber Operations

Pablo Martinez’s Biography

Participants

Gleennia Napper, Debo P. Adegbile, Peggy Ho, Autumn Hunter, Macey Russell

Moderator

Gleennia Napper

Vice President, Corporate Finance Compliance

Deutsche Bank

Gleennia Napper’s Biography

Panelists

Debo P. Adegbile

Partner

WilmerHale

Debo P. Adegbile’s Biography

Peggy Ho

EVP, Deputy General Counsel

LPL Financial LLC

Peggy Ho’s Biography

Autumn Hunter

Associate General Counsel & Director

Bank of America Corporation

Autumn Hunter’s Biography

Participants

Eric Gallinek, Mark Carawan, Mark Katzelnick, Frank Pearn, Pamela Root, Barbara A. Stettner

Moderator

Eric Gallinek

Managing Director, Global Compliance Head - Global Banking & Markets and International

Bank of America Merrill Lynch

Eric Gallinek’s Biography

Panelists

Mark Carawan

Chief Compliance Officer

Citigroup Global Markets Inc

Mark Carawan’s Biography

Mark Katzelnick

Chief Risk and Compliance Officer

Fidelity Investments

Mark Katzelnick’s Biography

Frank Pearn

Global Head of Compliance

JP Morgan Chase & Co.

Frank Pearn’s Biography

Pamela Root

Global Head of Compliance and Group Chief Compliance Officer

Deutsche Bank AG

Pamela Root’s Biography

Barbara A. Stettner

Managing Partner

Allen & Overy LLP

Barbara A. Stettner’s Biography

Participants

Mei Lin Kwan-Gett, Stephanie Avakian, Martine Beamon, Andrew J. Ceresney, Joon H. Kim, Loretta E. Lynch

Moderator

Mei Lin Kwan-Gett

Deputy General Counsel & Global Head of Litigation & Regulatory Investigations

Citigroup Global Markets, Inc.

Mei Lin Kwan-Gett’s Biography

Panelists

Stephanie Avakian

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Stephanie Avakian’s Biography

Participants

Joe Salama, Kathy Adams, Elaine McChesney, Scott Musoff, Allison Patton, Annie Zaffuto

Moderator

Joe Salama

Associate General Counsel & Global Head of Litigation and Regulatory Enforcement

Deutsche Bank AG

Joe Salama’s Biography

Panelists

Elaine McChesney

Partner

Morgan Lewis

Elaine McChesney’s Biography

Allison Patton

Managing Director, Head of Wealth Management Client Litigation

Morgan Stanley

Allison Patton’s Biography

Annie Zaffuto

Associate General Counsel

Edward Jones

Annie Zaffuto’s Biography

Participants

Stephen Bard, Christopher Fernandes, Paul A. Merolla, Amy C. Sochard, Casey Whalley

Moderator

Stephen Bard

Senior Vice President, WIM Director of Social Media & Communications Compliance

Wells Fargo Clearing Services, LLC

Stephen Bard’s Biography

Panelists

Christopher Fernandes

Director of Legal

Hearsay Systems

Christopher Fernandes’s Biography

Amy C. Sochard

Senior Director, Advertising Regulation Department

FINRA

Amy C. Sochard’s Biography

Participants

Ryan Lester, Peter Driscoll, Darya Geetter, Ryder Hill, Joan McKown, Bari Jane Wolfe

Moderator

Ryan Lester

Managing Director

Goldman, Sachs & Co.

Ryan Lester’s Biography

Panelists

Peter Driscoll

Director, Office of Compliance Inspections and Examinations

U.S. Securities and Exchange Commission (SEC)

Peter Driscoll’s Biography

Darya Geetter

Managing Director, Head of US Regulatory Compliance

UBS

Darya Geetter’s Biography

Ryder Hill

SVP, Head of Compliance Exams, Surveillance & Controls

LPL Financial LLC

Ryder Hill’s Biography

Bari Jane Wolfe

Managing Director & Head of Regulatory Relations

Depository Trust & Clearing Corporation

Bari Jane Wolfe’s Biography

Participants

Kyle Brandon, Matthew Danton, Annette Nazareth, Felicia Rector, Amy Reich, Mark E. Wolfe

Moderator

Kyle Brandon

Managing Director, Director of Derivatives Policy

SIFMA

Kyle Brandon’s Biography

Panelists

Matthew Danton

Director

Barclays

Matthew Danton’s Biography

Annette Nazareth

Partner, Financial Institutions

Davis Polk & Wardwell LLP

Annette Nazareth’s Biography

Felicia Rector

Managing Director, Securities Division

Goldman, Sachs & Co.

Felicia Rector’s Biography

Amy Reich

General Counsel, APAC Asia Pacific Region

Depository Trust & Clearing Corporation

Amy Reich’s Biography

Mark E. Wolfe

Associate Director of the Office of Derivatives Policy and Trading Practices

US Securities and Exchange Commission (SEC)

Mark E. Wolfe’s Biography

Participants

Brigitte Duffy, Alphonzo Grant, AnnMarie Davis, Colleen P. Mahoney, Lorin L. Reisner, Tracey Salmon-Smith

Moderator

Brigitte Duffy

Senior Vice President, Associate Counsel

LPL Financial LLC

Brigitte Duffy’s Biography

Panelists

Alphonzo Grant

Managing Director, Legal and Compliance

Morgan Stanley

Alphonzo Grant’s Biography

AnnMarie Davis

SVP Employment Practices Associate General Counsel

Raymond James Financial Services, Inc.

AnnMarie Davis’s Biography

Colleen P. Mahoney

Partner, Securities Enforcement, Government Enforcement and White Collar Crime

Skadden, Arps, Slate, Meagher & Flom LLP

Colleen P. Mahoney’s Biography

11:45am – 12:15pm

Sponsored by: Norton Rose Fulbright 

Sponsored by:

Norton Rose Fulbright 

12:15pm – 1:30pm

Participants

Katrina A. Carroll, Elizabeth “Paige” Baumann, Jason Foye, Sarah Green, Satish M. Kini, Edward J. Mannix

Moderator

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Katrina A. Carroll’s Biography

Panelists

Elizabeth “Paige” Baumann

Senior Vice President, Chief Anti-Money Laundering Officer

Fidelity Investments

Elizabeth “Paige” Baumann’s Biography

Jason Foye

Director - AML Investigative Unit

FINRA

Jason Foye’s Biography

Sarah Green

Global Head of Financial Crimes

Vanguard

Sarah Green’s Biography

Edward J. Mannix

Senior Vice Presidentand Anti-Money Laundering Compliance Officer

Jefferies LLC

Edward J. Mannix’s Biography

Participants

Jeffry Freiburger, Jacqueline Beauprez, Molly Deere, Donald R. Littlefield

Moderator

Jeffry Freiburger

Managing Director and Chief Compliance Officer

Robert W. Baird & Co.

Jeffry Freiburger’s Biography

Panelists

Jacqueline Beauprez

Senior Vice President & General Counsel

D.A. Davidson & Co.

Jacqueline Beauprez’s Biography

Molly Deere

Assistant General Counsel

Stephens Inc.

Molly Deere’s Biography

Participants

Gary Rosen, Theodore R. Lazo, Stephen Luparello, Maura Miller, Aileen Postlethwaite, Laura Pruitt

Moderator

Panelists

Theodore R. Lazo

General Counsel and Head of Market Structure

BIDS Trading, L.P.

Theodore R. Lazo’s Biography

Stephen Luparello

General Counsel

Citadel Securities LLC

Stephen Luparello’s Biography

Maura Miller

Director-Equities Compliance

Credit Suisse Securities (USA) LLC

Maura Miller’s Biography

Aileen Postlethwaite

Director, Electronic Trading, Markets Compliance

Barclays

Aileen Postlethwaite’s Biography

Laura Pruitt

Partner

Jones Day

Laura Pruitt’s Biography

Participants

Karen Patton Seymour, Stephen M. Cutler, Eric F. Grossman, Christopher Lewis, Adam Meshel, Karen Wilson Thissen

Moderator

Karen Patton Seymour

Executive Vice President , General Counsel and Secretary of the Corporation

Goldman Sachs

Karen Patton Seymour’s Biography

Panelists

Eric F. Grossman

Executive Vice President and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

Adam Meshel

Managing Director & Global General Counsel

Citigroup Global Markets, Inc.

Adam Meshel’s Biography

Karen Wilson Thissen

Executive Vice President and General Counsel

Ameriprise Financial Services, Inc.

Karen Wilson Thissen’s Biography

Participants

Joshua E. Levine, Patricia Canavan, Colleen Conry, Lawrence Gerschwer, Nancy Kestenbaum, Alexander B. White

Moderator

Joshua E. Levine

Managing Director and General Counsel – ICG Regulatory Enforcement

Citigroup Global Markets, Inc.

Joshua E. Levine’s Biography

Panelists

Patricia Canavan

Executive Director and Counsel

UBS AG

Patricia Canavan’s Biography

Alexander B. White

Assistant General Counsel

Bank of America Corporation

Alexander B. White’s Biography

Participants

James Mangan, Boris Bershteyn, Susanna M. Buergel, Jill Centella, Victor L. Hou, Amanda Vaughn

Moderator

James Mangan

Managing Director, Head of US Litigation

Morgan Stanley

James Mangan’s Biography

Panelists

Jill Centella

Managing Director, Global Head of Litigation

J.P. Morgan Chase & Co.

Jill Centella’s Biography

Amanda Vaughn

Deputy General Counsel

Bank of America Corporation

Amanda Vaughn’s Biography

Participants

Sunita Koshy, Melissa Aoyagi, James Bergin, Michele Coffey, James McHale

Moderator

Sunita Koshy

Managing Director and the Chief Compliance Officer, Global Conduct Risk Management

Citigroup Global Markets Inc.

Sunita Koshy’s Biography

Panelists

Melissa Aoyagi

Managing Director, Global Head of Conduct Risk

Morgan Stanley

Melissa Aoyagi’s Biography

James Bergin

Deputy General Counsel and Senior Vice President

Federal Reserve Bank of New York

James Bergin’s Biography

James McHale

Executive Vice President & Chief Compliance Officer

Wells Fargo Advisors

James McHale’s Biography

Participants

Melissa MacGregor, Behnaz Kibria, Cassandra Lentchner, Jodi Pinedo, Eric Strasser

Moderator

Melissa MacGregor

Managing Director and Associate General Counsel

SIFMA

Melissa MacGregor’s Biography

Panelists

Behnaz Kibria

Senior Policy Counsel

Google

Behnaz Kibria’s Biography

Jodi Pinedo

Director & Senior Managing Counsel

Pershing LLC, a BNY Mellon Company

Jodi Pinedo’s Biography

Eric Strasser

Vice President, Information Security Risk Management

Northern Trust

Eric Strasser’s Biography

Participants

Curtis Tao, Jahad Atieh, Jai R. Massari, David Rusoff, Robert Toomey

Moderator

Curtis Tao

Associate General Counsel

Citigroup Global Markets, Inc.

Curtis Tao’s Biography

Panelists

Jahad Atieh

Vice President & Assistant General Counsel

J.P. Morgan Chase & Co.

Jahad Atieh’s Biography

Robert Toomey

Managing Director and Associate General Counsel, Rates

SIFMA

Robert Toomey’s Biography

Participants

Susan Boudrot, James Cornwell, Lori Ryan-Thurton, Matthew Schurter, Joshua Stahl, John H. Walsh

Moderator

Susan Boudrot

Managing Director and Global CCO

TD Ameritrade Holding Corporation

Susan Boudrot’s Biography

Panelists

James Cornwell

Director - Compliance Risk Assessment

Societe Generale Corporate & Investment Banking

James Cornwell’s Biography

Lori Ryan-Thurton

Americas Head of Compliance Testing

Deutsche Bank

Lori Ryan-Thurton’s Biography

Matthew Schurter

Vice President, Global Compliance Testing and Employee Disclosure

Charles Schwab

Matthew Schurter’s Biography

Joshua Stahl

Compliance Officer

Wells Fargo

Joshua Stahl’s Biography

Participants

Michelle Kelley, Kevin Carroll, Yoon-Young Lee, Dean Pinto, Brett Redfearn, Theresa Seys

Moderator

Michelle Kelley

Senior Vice President & Associate General Counsel

LPL Financial LLC

Michelle Kelley’s Biography

Panelists

Kevin Carroll

Managing Director and Associate General Counsel

SIFMA

Kevin Carroll’s Biography

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Dean Pinto

Managing Director, Legal Department

Morgan Stanley Wealth Management

Dean Pinto’s Biography

Brett Redfearn

Director, Division of Trading and Markets

U.S. Securities and Exchange Commission (SEC)

Brett Redfearn’s Biography

Theresa Seys

Vice President and Chief Counsel

Ameriprise Financial Services, Inc.

Theresa Seys’s Biography

1:30pm – 2:30pm

Networking Luncheon

1:30pm – 2:45pm

Sponsored by: Clifford Chance US LLP

Sponsored by:

Clifford Chance US LLP

Participants

Anne Robinson

Speaker

Anne Robinson

Managing Director, General Counsel and Corporate Secretary

Vanguard

Anne Robinson’s Biography

1:30pm – 6:30pm

Sponsored by: StarCompliance Pre-Registration is required. You may sign up for this during the registration process or contact [email protected]  with any questions.

Sponsored by:

StarCompliance

Pre-Registration is required.

You may sign up for this during the registration process or contact [email protected]  with any questions.

1:30pm – 2:45pm

Sponsored by: Protiviti 

Sponsored by:

Protiviti 

Sponsored by: Proofpoint

Sponsored by:

Proofpoint

Sponsored by: Quislex

Sponsored by:

Quislex

5:00pm – 6:00pm

All are welcome to join the C&L LGBTQ+ community and their allies for this inaugural networking reception.

All are welcome to join the C&L LGBTQ+ community and their allies for this inaugural networking reception.

7:00am – 2:30pm

Registration Desk Hours

7:00am – 1:30pm

Whether it’s for LinkedIn, social media, or any other professional opportunity, a professional headshot offers participants an opportunity to convey a positive message about themselves to future clients, employers, and…

Whether it’s for LinkedIn, social media, or any other professional opportunity, a professional headshot offers participants an opportunity to convey a positive message about themselves to future clients, employers, and event participants.

Sponsored by:

KPMG LLP

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors and update your professional headshot!

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors and update your professional headshot!

7:00am – 8:00am

7:00am – 7:50am

Sponsored by: WilmerHale

Sponsored by:

WilmerHale

Participants

Stacie Owens, Audria Pendergrass Lee

Moderator

Stacie Owens

Principal

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

Senior Associate General Counsel

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

Stacie Owens’s Biography

Speaker

Audria Pendergrass Lee

Head of Diversity & Inclusion

FINRA

Audria Pendergrass Lee’s Biography

8:00am – 8:05am

Welcome Remarks

8:05am – 8:15am

Presentation of the Alfred J. Rauschman Award

8:15am – 8:45am

Participants

Shelley S. O’Connor

8:45am – 10:00am

Participants

Eric F. Grossman, Stephanie Avakian, Jessica Hopper, Jacquelyn Kasulis, James McDonald, Steven Peikin

Moderator

Eric F. Grossman

Executive Vice President and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

Panelists

Stephanie Avakian

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Stephanie Avakian’s Biography

Jessica Hopper

Senior Vice President and Deputy Head of Enforcement

FINRA

Jessica Hopper’s Biography

James McDonald

Director, Division of Enforcement

U.S. Commodity Futures Trading Commission

James McDonald’s Biography

Steven Peikin

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Steven Peikin’s Biography

10:00am – 10:30am

Sponsored by: Lowenstein Sandler LLP

Sponsored by:

Lowenstein Sandler LLP

10:30am – 11:45am

Participants

James Crowe, Kenneth Crowley, Tracy L. Gerber, Andrea M. Greene, Melissa Hegger Shea, Carolyn D. Roch

Moderator

Panelists

Kenneth Crowley

Executive Director

UBS Financial Services Inc.

Kenneth Crowley’s Biography

Tracy L. Gerber

Co-Managing Shareholder

Greenberg Traurig, LLP

Co-Chair, Broker-Dealer Securities Litigation Practice Group

Greenberg Traurig, LLP

Tracy L. Gerber’s Biography

Melissa Hegger Shea

Vice President and Associate General Counsel, Legal

Fidelity Investments

Melissa Hegger Shea’s Biography

Participants

Mary Reisert, Adam Hakki, Brad Karp, Jay Kasner, Sharon Nelles, Jonathan Rosenberg

Moderator

Mary Reisert

Managing Director, Legal Department

Citigroup Global Markets, Inc.

Mary Reisert’s Biography

Panelists

Adam Hakki

Partner, Litigation

Shearman & Sterling LLP

Adam Hakki’s Biography

Jonathan Rosenberg

Firmwide Chair of Securities Litigation

O'Melveny & Myers LLP

Jonathan Rosenberg’s Biography

Participants

Edward McLaren, Elizabeth H. Baird, Andrew Mayo, Marlon Q. Paz, Marjan Quadir, Corwin Wyatt

Moderator

Edward McLaren

Compliance and Operations Risk Executive

Bank of America Merrill Lynch

Edward McLaren’s Biography

Panelists

Elizabeth H. Baird

Deputy Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Elizabeth H. Baird’s Biography

Andrew Mayo

Head of US Fixed Income Compliance and Co-Head of US Sales & Trading Compliance

Morgan Stanley

Andrew Mayo’s Biography

Marjan Quadir

Director, Global Markets Compliance

Citigroup Global Markets Inc.

Marjan Quadir’s Biography

Corwin Wyatt

Head of Fixed Income Compliance

Jefferies

Corwin Wyatt’s Biography

Participants

Andrew Stemmer, Marc P. Berger, Katherine Goldstein, Fraser L. Hunter Jr., Christopher K. Williams

Moderator

Andrew Stemmer

Director & Senior Counsel, Litigation & Regulatory Investigations

Deutsche Bank AG

Andrew Stemmer’s Biography

Panelists

Marc P. Berger

Director of New York Regional Office

U.S. Securities and Exchange Commission

Marc P. Berger’s Biography

Katherine Goldstein

Partner

Milbank LLP

Katherine Goldstein’s Biography

Fraser L. Hunter Jr.

Partner & Vice Chair, Securities Department

WilmerHale LLP

Fraser L. Hunter Jr.’s Biography

Christopher K. Williams

Senior Legal Counsel

Fidelity Investments

Christopher K. Williams’s Biography

Participants

Vaishali Javeri, James Brigagliano, Sara Carlesimo, Thomas Gira, Scott Kloin, David Nagy

Moderator

Vaishali Javeri

Director & Senior Counsel

Credit Suisse

Vaishali Javeri’s Biography

Panelists

Sara Carlesimo

Director and Managing Counsel, Markets Legal

BNY Mellon

Sara Carlesimo’s Biography

Thomas Gira

Executive Vice President, Market Regulation

FINRA

Thomas Gira’s Biography

Scott Kloin

Chief Compliance Officer & Senior Deputy General Counsel

Citadel Securities

Scott Kloin’s Biography

David Nagy

Senior Vice President, Compliance

Jefferies Wealth Management

David Nagy’s Biography

Participants

Jill Ostergaard, Brad Ahrens, Peter Kenny, Charles Riely, Tamsin Roe

Moderator

Jill Ostergaard

Partner and CCO

Exos Securities LLC

Panelists

Brad Ahrens

Vice President of the Compliance Surveillance Technology and Analytics Group

Charles Schwab

Brad Ahrens’s Biography

Peter Kenny

Director, Barclays Compliance

Barclays

Peter Kenny’s Biography

Tamsin Roe

Head of LCD Innovation

Morgan Stanley

Tamsin Roe’s Biography

Participants

Jeremy Warren, Jodi L. Avergun, Sharon Cohen Levin, Aseel Rabie, Douglas Siegel

Moderator

Jeremy Warren

Head of Global Financial Crimes Compliance, Corporate & Investment Bank

J.P. Morgan Chase & Co.

Jeremy Warren’s Biography

Panelists

Aseel Rabie

Managing Director, Associate General Counsel

SIFMA

Aseel Rabie’s Biography

Douglas Siegel

Managing Director & Chief Compliance Officer

Oppenheimer

Douglas Siegel’s Biography

Participants

Patrick Cox, Craig Barrack, Marla Moskowitz-Hesse, Lee S. Richards III

Moderator

Patrick Cox

Executive Vice President & Deputy General Counsel

LPL Financial LLC

Patrick Cox’s Biography

Panelists

Craig Barrack

Managing Director & General Counsel

Citigroup Global Markets, Inc.

Craig Barrack’s Biography

Marla Moskowitz-Hesse

Managing Director

Credit Suisse

Marla Moskowitz-Hesse’s Biography

Participants

Mark Keene, Michael Freedman, Julie Glynn, Jessica Hopper, Ben A. Indek, Andrew Sidman

Moderator

Mark Keene

Managing Director & Associate General Counsel Legal

Bank of America Corporation

Mark Keene’s Biography

Panelists

Michael Freedman

SVP and Associate General Counsel, Regulatory Inquiries & Strategy

LPL Financial LLC

Michael Freedman’s Biography

Julie Glynn

Deputy Chief Legal Officer

J.P. Morgan Securities LLC

Julie Glynn’s Biography

Jessica Hopper

Senior Vice President and Deputy Head of Enforcement

FINRA

Jessica Hopper’s Biography

Andrew Sidman

Principal, Securities

Bressler, Amery & Ross, P.C.

Andrew Sidman’s Biography

Participants

Mike Silva, David DiBari, Gregory Johnson, Jane Morril, Vince Perrone, Nancy Swift

Moderator

Mike Silva

Chief Compliance Officer Americas

UBS

Mike Silva’s Biography

Panelists

David DiBari

Managing Partner, Litigation & Dispute Resolution

Clifford Chance US LLP

David DiBari’s Biography

Gregory Johnson

Chief Compliance Officer, Institutional Clients Group

Citigroup Global Markets, Inc.

Gregory Johnson’s Biography

Jane Morril

Executive Director, Chief Operating Officer, Global Compliance Department

Morgan Stanley

Jane Morril’s Biography

Nancy Swift

Deputy Chief Compliance Officer, Institutional & Brokerage

Wells Fargo & Company

Nancy Swift’s Biography

Participants

Lauren Munfa, Raymond Abbott, Dana Fleischman, Philip Shaikun, Pamela Torres

Moderator

Lauren Munfa

Executive Director

UBS Securitites Co., Ltd

Lauren Munfa’s Biography

Panelists

Raymond Abbott

Managing Director & Associate General Counsel for Global Research

Bank of America Merrill Lynch

Raymond Abbott’s Biography

Philip Shaikun

Vice President and Associate General Counsel

FINRA

Philip Shaikun’s Biography

Pamela Torres

General Counsel of Global Investment Research

Goldman, Sachs & Co.

Pamela Torres’s Biography

11:45am – 12:15pm

Networking Break

12:15pm – 1:30pm

Participants

Michelle Bryan Oroschakoff, Robert L.D. Colby, Thomas Gira, Bari M. Havlik, Jessica Hopper, Nader Salehi

Moderator

Michelle Bryan Oroschakoff

Chief Legal Officer

LPL Financial LLC

Michelle Bryan Oroschakoff’s Biography

Panelists

Robert L.D. Colby

Executive Vice President and Chief Legal Officer

FINRA

Robert L.D. Colby’s Biography

Thomas Gira

Executive Vice President, Market Regulation

FINRA

Thomas Gira’s Biography

Bari M. Havlik

Executive Vice President, Member Supervision

FINRA

Bari M. Havlik’s Biography

Jessica Hopper

Senior Vice President and Deputy Head of Enforcement

FINRA

Jessica Hopper’s Biography

Nader Salehi

Partner, SEC Enforcement

Sidley Austin LLP

Nader Salehi’s Biography

Participants

Amy Watson, John V. Ayanian, Michael Weissman, Rose-Anne Richter, Patrick Whyte

Moderator

Amy Watson

Managing Director, Federation Compliance and Executive Office Compliance

Goldman, Sachs & Co.

Amy Watson’s Biography

Panelists

Michael Weissman

Senior Vice President, Regulatory Compliance

Fidelity Investments

Michael Weissman’s Biography

Rose-Anne Richter

CCO, Wealth Management

Morgan Stanley

Rose-Anne Richter’s Biography

Patrick Whyte

Vice President, Compliance Risk Management

Charles Schwab & Co., Inc.

Patrick Whyte’s Biography

Participants

Carter K. McDowell, Jillian Eng, Mark Metz, Jeremy Newell, Phillip Wertz

Moderator

Carter K. McDowell

Managing Director, Associate General Counsel

SIFMA

Carter K. McDowell’s Biography

Panelists

Jillian Eng

Executive Director & Assistant General Counsel

JP Morgan

Jillian Eng’s Biography

Mark Metz

Deputy General Counsel

Wells Fargo

Mark Metz’s Biography

Phillip Wertz

Associate General Counsel

Bank of America Corporation

Phillip Wertz’s Biography

Participants

Ronald Long, Lisa Bleier, Michael Duff, Erin Linehan, William E. White, Jeanette Wingler

Moderator

Ronald Long

SVP, Head of Elder Client Initiatives Center of Excellence

Wells Fargo Advisors

Ronald Long’s Biography

Panelists

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

Michael Duff

Department Leader- Field Supervision

Edward Jones

Michael Duff’s Biography

Erin Linehan

Associate General Counsel, Compliance

Raymond James Financial Services, Inc.

Erin Linehan’s Biography

Jeanette Wingler

Office of the General Counsel

FINRA

Jeanette Wingler’s Biography

Participants

Angie Karna, Colin D. Lloyd, Michael Otten, Joshua B. Sterling

Moderator

Angie Karna

Managing Director, Legal

Nomura Secuirties, Inc.

Angie Karna’s Biography

Panelists

Michael Otten

Vice President, OTC Derivatives

National Futures Association (NFA)

Michael Otten’s Biography

Joshua B. Sterling

Director of the Division of Swap Dealer and Intermediary Oversight

U.S. Commodity Futures Trading Commission

Joshua B. Sterling’s Biography

Participants

David Markowitz, George S. Canellos, Craig Carpenito, Matthew Fitzwater, Susan L. Merrill, Theodore Wells, Jr.

Moderator

David Markowitz

Managing Director

Goldman, Sachs & Co.

David Markowitz’s Biography

Panelists

Craig Carpenito

United States Attorney, District of New Jersey

U.S. Department of Justice

Craig Carpenito’s Biography

Matthew Fitzwater

Managing Director, Global Head of Litigation

Barclays

Matthew Fitzwater’s Biography

Participants

Janet Broeckel, Kelly Currie, Tim Magee, Ghillaine A. Reid, Erica Williams

Moderator

Janet Broeckel

Managing Director, Associate General Counsel Litigation/Regulatory

Goldman, Sachs & Co.

Janet Broeckel’s Biography

Panelists

Tim Magee

Americas Head of Investigations & Enforcement

Barclays

Tim Magee’s Biography

Participants

Michael Huber, Steven Lofchie, Michael A. Macchiaroli, Tamela Marriweather, Robert O’Connor, Bill Wollman

Moderator

Michael Huber

Managing Director and Associate General Counsel

Goldman, Sachs & Co.

Michael Huber’s Biography

Panelists

Steven Lofchie

Partner, Head of the Financial Regulatory Group

Cadwalader, Wickersham & Taft LLP

Steven Lofchie’s Biography

Michael A. Macchiaroli

Associate Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Michael A. Macchiaroli’s Biography

Tamela Marriweather

Senior Vice President

Northern Trust

Assistant General Counsel

Northern Trust

Tamela Marriweather’s Biography

Robert O’Connor

Managing Director

Morgan Stanley

Robert O’Connor’s Biography

Bill Wollman

Executive Vice President, Member Supervision

FINRA

Bill Wollman’s Biography

Participants

Aaron Furniss, Barry Brown, David Erb, Richard Maloney, Jane Matoesian

Moderator

Aaron Furniss

Vice President, Associate General Counsel

Raymond James Financial Services, Inc.

Aaron Furniss’s Biography

Panelists

Barry Brown

Director, Compliance and Legal Services

Charles Schwab

Barry Brown’s Biography

Richard Maloney

Executive Director and Counsel

UBS

Richard Maloney’s Biography

Jane Matoesian

Senior Vice President and Managing Counsel

Benjamin F. Edwards & Co.

Jane Matoesian’s Biography

Participants

Rose Battaglia, Jeff Isaacs, Dan Jackson, Joseph Polizzotto, Lani Quarmby, James Q. Walker

Moderator

Rose Battaglia

Managing Director and Global Chief Operating Officer - Legal Department

Deutsche Bank AG

Rose Battaglia’s Biography

Panelists

Jeff Isaacs

Managing Director and Global COO

Goldman, Sachs & Co.

Jeff Isaacs’s Biography

Joseph Polizzotto

Senior Vice President, Strategy & Client Services

QuisLex, Inc.

Joseph Polizzotto’s Biography

Lani Quarmby

Managing Director & Associate General Counsel

Bank of America Corporation

Lani Quarmby’s Biography

Participants

Jonathan Eisenberg, Timothy S. Bishop, Kelsi Corkran, Beth Heifetz, Kannon K. Shanmugam

1:30pm – 2:30pm

Networking Luncheon

1:30pm – 2:30pm

Pre-registration is required. Open to all! Sponsored by: Sidley Austin LLP  

Pre-registration is required. Open to all!

Sponsored by:

Sidley Austin LLP

 

Participants

Stephen M. Cutler, Natalia Marulanda, Petal Modeste, Marlon Q. Paz

Moderator

Panelists

Natalia Marulanda

Mansfield Rule and Knowledge Sharing Specialist

Diversity Lab

Natalia Marulanda’s Biography

Petal Modeste

Associate Dean of Student Affairs Administration

Columbia Law School

Petal Modeste’s Biography

1:30pm – 2:45pm

Sponsored by: Accenture

Sponsored by:

Accenture

Sponsored by: MyComplianceOffice

Sponsored by:

MyComplianceOffice

Sponsored by: IMS ExpertServices

Sponsored by:

IMS ExpertServices

6:00pm – 8:00pm

10:00pm – 12:00am

7:30am – 11:45am

Registration Desk Hours
Exhibition Hall Hours

7:30am – 8:15am

Networking Breakfast

8:15am – 8:20am

Closing Remarks

8:20am – 8:50am

Participants

Robert W. Cook, Ira D. Hammerman

Speakers

Robert W. Cook

President and Chief Executive Officer

FINRA

Robert W. Cook’s Biography

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

8:50am – 9:50am

Participants

James Carville, Mary Matalin

Speakers

James Carville

Political Commentator

James Carville’s Biography

Mary Matalin

Political Commentator

Mary Matalin’s Biography

9:50am – 10:10am

Networking Break

10:10am – 11:25am

Participants

Jennifer Grego, Elizabeth H. Baird, Evan Charkes, Edward P. O’Keefe, Ann Stanley, KC Waldron

Moderator

Jennifer Grego

Managing Director, Deputy Head of Wealth Management Compliance

Morgan Stanley

Jennifer Grego’s Biography

Panelists

Elizabeth H. Baird

Deputy Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Elizabeth H. Baird’s Biography

Evan Charkes

Managing Director and Associate General Counsel

Bank of America Corporation

Evan Charkes’s Biography

Ann Stanley

Managing Director and Senior Managing Counsel

BNY Mellon

Ann Stanley’s Biography

KC Waldron

Vice President Compliance Regulatory

Charles Schwab

KC Waldron’s Biography

Participants

Alison Morpurgo, Belinda Blaine, Lucas Glass, Charlotte Stalin, John Weitzer

Moderator

Alison Morpurgo

Managing Director, Global Head Cross-Border Legal

UBS Global Wealth Management

Alison Morpurgo’s Biography

Panelists

Belinda Blaine

Managing Director

Morgan Stanley

Belinda Blaine’s Biography

Lucas Glass

Senior Counsel

Wells Fargo

Lucas Glass’s Biography

John Weitzer

Managing Director, Americas Head of Regulatory Compliance, Global Banking and Markets

HSBC

John Weitzer’s Biography

Participants

James Meadows, David Anders, Antonia M. Apps, Anirudh Bansal, Christina Dugger, David Meister

Participants

Neil Rosolinsky, Lisa Bertain, Eugene Clark, Sandra Dawn Grannum, Valecia McDowell, Carole Miller

Moderator

Neil Rosolinsky

Deputy General Counsel, Litigation & Employment

Citizens Financial Group, Inc.

Neil Rosolinsky’s Biography

Panelists

Lisa Bertain

Deputy General Counsel

Edward Jones

Lisa Bertain’s Biography

Eugene Clark

Managing Director & Deputy General Counsel

Citigroup Global Markets, Inc.

Eugene Clark’s Biography

Carole Miller

Co-Chair of Labor and Employment Practice

Bressler, Amery & Ross, P.C.

Carole Miller’s Biography

Participants

John O’Neill, Lynn Konop, John Malitzis, T. Peter R. Pound, Aleksandra Radakovic, Kelly Zigaitis

Moderator

John O’Neill

Executive Vice President and Chief Compliance Officer

LPL Financial LLC

John O’Neill’s Biography

Panelists

Lynn Konop

Vice President, Compliance

Charles Schwab

Lynn Konop’s Biography

John Malitzis

Managing Director and Global Head of Surveillance

Citigroup Global Markets, Inc.

John Malitzis’s Biography

Aleksandra Radakovic

Managing Director & Head of Surveillance

J.P. Morgan Chase & Co.

Aleksandra Radakovic’s Biography

Kelly Zigaitis

Head of Oversight and Controls, Compliance

Wells Fargo

Kelly Zigaitis’s Biography

Participants

Norman Ashkenas, Matthew Bunda, Jeff Coverdell, Mark D. Knoll, Cece Baute Mavico, Susan A. Schroeder

Moderator

Norman Ashkenas

Senior Vice President & Chief Compliance Officer

Fidelity Investments

Norman Ashkenas’s Biography

Panelists

Matthew Bunda

Director and Associate General Counsel

Citigroup Global Markets, Inc.

Matthew Bunda’s Biography

Jeff Coverdell

Assistant General Counsel

Wells Fargo

Jeff Coverdell’s Biography

Cece Baute Mavico

Senior Vice President & Associate Counsel

LPL Financial LLC

Cece Baute Mavico’s Biography

Susan A. Schroeder

Formerly Executive Vice President and Head of Enforcement

FINRA

Susan A. Schroeder’s Biography

Participants

Neal E. Sullivan, Christopher Gerold, Marin E. Gibson, Lisa Hopkins, Hasan Ibrahim

Moderator

Panelists

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Marin E. Gibson’s Biography

Lisa Hopkins

General Counsel

Office of the State Auditor

Lisa Hopkins’s Biography

Hasan Ibrahim

Chief Legal Officer and and Vice President, Prudential Advisors

Prudential Financial, Inc.

Hasan Ibrahim’s Biography

Participants

Patrick Chavez, Kathleen Dedenbach, Rob Patchett, Heather Egan Sussman, Andrew Tannenbaum

Moderator

Patrick Chavez

Chief Privacy Officer & Associate General Counsel, Records and Information Management Program, Legal Division

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

Patrick Chavez’s Biography

Panelists

Kathleen Dedenbach

Vice President, Chief Counsel, Global Chief Privacy Officer

Ameriprise Financial Services, Inc.

Kathleen Dedenbach’s Biography

Rob Patchett

CPO, Global Data Privacy & Protection Office

Raymond James Financial Services, Inc.

Rob Patchett’s Biography

Andrew Tannenbaum

Managing Director, Global Head of Cyber, Data and IP Legal

Barclays

Andrew Tannenbaum’s Biography

Participants

Jeffrey Harwin, Alyssa Albertelli, Tricia Centeno, Ki Hong, Obiamaka P. Madubuko

Moderator

Jeffrey Harwin

Managing Director, Head of Anti-Finacial Crime for the Americas

Deutsche Bank

Jeffrey Harwin’s Biography

Panelists

Alyssa Albertelli

Chief Ethics Officer

Fidelity Investments

Alyssa Albertelli’s Biography

Participants

Scott Flood, Stephen J. Shine, Mark Steffensen, Tanya Weisleder, Jeremiah Williams

Moderator

Scott Flood

Managing Director & Senior Deputy General Counsel, Markets & Banking

Citigroup Global Markets Inc.

Scott Flood’s Biography

Panelists

Stephen J. Shine

Chief Regulatory Counsel

Prudential Financial, Inc.

Stephen J. Shine’s Biography

Mark Steffensen

Senior Executive Vice President & General Counsel

HSBC

Mark Steffensen’s Biography

Tanya Weisleder

Global Head, Conduct Risk

Credit Suisse

Tanya Weisleder’s Biography

Participants

Leslie Norwood, Margaret “Peggy” Blake, Emma Bredin, David Cohen, Jeanine McHugh

Moderator

Leslie Norwood

Managing Director & Associate General Counsel, Municipal Securities

SIFMA

Leslie Norwood’s Biography

Panelists

Margaret “Peggy” Blake

Of Counsel in Financial Institutions Litigation & Regulation

Jones Day

Margaret “Peggy” Blake’s Biography

David Cohen

Senior Legal Counsel

RBC Capital Markets

David Cohen’s Biography

Jeanine McHugh

General Counsel

HSBC Bank USA

Jeanine McHugh’s Biography

11:25am – 11:45am

Networking Break

11:45am – 1:00pm

Participants

Jennifer Inker, Michael Delikat, William Maguire, Louis Santangelo, Grace Speights

Moderator

Jennifer Inker

Senior Vice President, DGC, Head of Employment Law Group

Fidelity Investments

Jennifer Inker’s Biography

Panelists

William Maguire

Vice President

Wells Fargo

William Maguire’s Biography

Louis Santangelo

Senior Counsel, Employment Law

Societe Generale

Louis Santangelo’s Biography

Participants

Charlene Jones, Wayne Carlin, Cynthia Ferencz, Abigail Hemani, Gregory Scanlon, Richard Walker

Moderator

Charlene Jones

Director, Associate General Counsel

Citigroup Global Markets, Inc.

Charlene Jones’s Biography

Panelists

Cynthia Ferencz

Executive Director, Legal and Compliance

Morgan Stanley

Cynthia Ferencz’s Biography

Abigail Hemani

Vice President and Associate General Counsel

Fidelity

Abigail Hemani’s Biography

Gregory Scanlon

Vice President & Associate General Counsel, Corporate Legal Services

Charles Schwab

Gregory Scanlon’s Biography

Participants

Patrick Moran, Todd Baskin, Sipi Bhandari, Michael Kaplan, Casey Kobi

Moderator

Patrick Moran

General Counsel

Goldman, Sachs & Co.

Patrick Moran’s Biography

Panelists

Todd Baskin

Managing Director & Associate General Counsel

Bank of America Merrill Lynch

Todd Baskin’s Biography

Sipi Bhandari

General Counsel

Deutsche Bank

Sipi Bhandari’s Biography

Casey Kobi

Managing Director

Barclays

Casey Kobi’s Biography

Participants

Vincent Serpico, Robert Carlson, Joseph P. Facciponti, Gina E. Hyde, Gerald Spada

Moderator

Vincent Serpico

Managing Director and Associate General Counsel

Bank of America Corporation

Vincent Serpico’s Biography

Panelists

Robert Carlson

Operational Risk Manager

Wells Fargo

Robert Carlson’s Biography

Gina E. Hyde

Chief Compliance Officer, Capital Markets

Stifel Financial Corp.

Gina E. Hyde’s Biography

Gerald Spada

Senior Vice President, Chief Privacy Officer

LPL Financial

Gerald Spada’s Biography

Participants

Anne Tennant, Hilary Sunghee Seo, William St. Louis, Corin R. Swift, Danielle Tarasen

Moderator

Anne Tennant

Managing Director & General Counsel

Morgan Stanley Wealth Management

Anne Tennant’s Biography

Panelists

Hilary Sunghee Seo

Senior Counsel

Allen & Overy LLP

Hilary Sunghee Seo’s Biography

William St. Louis

Senior Vice President and Regional Director

FINRA

William St. Louis’s Biography

Danielle Tarasen

Senior Vice President, Head of Cross Border Strategy and Oversight

Raymond James Financial Services, Inc.

Danielle Tarasen’s Biography

Participants

Greg Ruppert, Joseph P. Borg, James Fiebelkorn, Barry R. Goldsmith, Dixie Johnson, Paul Sankovich

Moderator

Greg Ruppert

Senior Vice President – Financial Crimes Risk Management

Charles Schwab

Greg Ruppert’s Biography

Panelists

James Fiebelkorn

Vice President and Global AML Officer

Ameriprise Financial, Inc.

James Fiebelkorn’s Biography

Paul Sankovich

Chief Compliance Officer

Wells Fargo

Paul Sankovich’s Biography

Participants

David Forman, Tammy Bawnik, Lourdes Gonzalez, Jennifer Klass, Donald Sutherland

Moderator

David Forman

Senior Vice President & Deputy General Counsel

Fidelity Investments

Chief Legal Officer

Fidelity Brokerage Services

David Forman’s Biography

Panelists

Tammy Bawnik

Executive Director, Deputy General Counsel Legal

UBS Financial Services Inc.

Tammy Bawnik’s Biography

Lourdes Gonzalez

Assistant Chief Counsel – Sales Practices, Division of Trading and Markets

U.S. Securities and Exchange Commission

Lourdes Gonzalez’s Biography

Donald Sutherland

Senior Vice President and Senior Company Counsel

Wells Fargo & Company

Donald Sutherland’s Biography

1:00pm – 1:00pm

Seminar Adjourns

Venue

JW Marriott Grande Lakes, Orlando

4040 Central Florida Parkway
Orlando, FL 32837

The seminar meeting space will be on the JW Marriott side of the Grande Lakes complex.

Picture of venue

Hotel Accommodations

JW Marriott Orlando Grande Lakes
4040 Central Florida Parkway
Orlando, FL 32837

Click HERE to add your name to the waiting list at the JW Marriott Orlando Grande Lakes

The seminar meeting space will be on the JW Marriott side of the Grande Lakes complex.

JW Marriott Orlando Grande Lakes Room Rates:

  • Standard Room: $349 per night plus taxes + fees
    • There will be upgrade options based on availability

Cancellation Policy: To secure a room at the JW Marriott Orlando Grande Lakes at the SIFMA C&L group rates, you must be registered to attend the 2020 C&L Annual Seminar. Please note that any hotel room reservations secured under the SIFMA C&L hotel block that do not match-up to a seminar registration will be subject to hotels’ then prevailing room rates.

If a confirmed reservation is cancelled after Thursday, February 20th, 2020, a non-refundable payment equal to one night room and tax will be forfeited to the credit card on file.

Failure to check in to your room on the reserved date will incur a fee equal to room and tax for the reserved length of stay. Hotel will accept name changes until twenty-four (24) hours prior to arrival without cancellation fees.

Overflow Hotels

Ritz-Carlton Orlando Grande Lakes
4012 Central Florida Parkway
Orlando FL 32837

Click HERE to add your name to the waiting list at the Ritz-Carlton Orlando Grande Lakes

Ritz-Carlton Orlando Grande Lakes Room Rates:

  • Standard Room: $375 per night plus taxes + fees
    • There will be upgrade options based on availability

Cancellation Policy: To secure a room at the Ritz-Carlton Orlando Grande Lakes at the SIFMA C&L group rates, you must be registered to attend the 2020 C&L Annual Seminar. Please note that any hotel room reservations secured under the SIFMA C&L hotel block that do not match-up to a seminar registration will be subject to hotels’ then prevailing room rates.

If a confirmed reservation is cancelled after Thursday, February 20th, 2020, a non-refundable payment equal to one night room and tax will be forfeited to the credit card on file.

Failure to check in to your room on the reserved date will incur a fee equal to room and tax for the reserved length of stay. Hotel will accept name changes until twenty-four (24) hours prior to arrival without cancellation fees.

Courtyard Orlando South
4120 Taft Vineland Road
Orlando, FL 32837

Email [email protected] to add your name to the waiting list at the Courtyard Orlando South

Courtyard Orlando South Room Rates:

  • Standard Room: $209 per night plus taxes + fees

Cancellation Policy: To avoid a one night’s room and tax charge, reservations must be cancelled at least twenty one (21) days prior to scheduled arrival. Failure to check in to your room will incur a fee equal to the entire length of stay.

A small portion of the JW Marriott and Ritz-Carlton Grande Lakes room rates will be collected to cover conference operational costs.

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. CLE rates will increase to $150 onsite.

SIFMA will seek CLE Credit for this program in the following states:

  • AK
  • AL
  • AR
  • AZ
  • CA
  • CO
  • CT
  • FL
  • GA
  • IA
  • IL
  • IN
  • KS
  • KY
  • LA
  • ME
  • MN
  • MO
  • MT
  • NC
  • NE
  • NJ
  • NY
  • OH
  • OR
  • PA
  • SC
  • TN
  • TX
  • VA
  • WA
  • WI

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
Select sessions at this event will be open to the press.

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.

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.

Golf Tournament, Run for a Purpose and other activity charges will not be refunded after March 1, 2019