SIFMA C&L Annual Seminar

A Constant Voice Through 50 Years of Change

Date

March 18 - March 21, 2018

Location

Orlando, FL

On-Site Rates – Until 3/18/17

  • Industry Member $1095
  • Counsel Member $1800
  • Special Member $1800
  • Regulatory Member $545
  • Non-Member $2100

Overview

A Constant Voice Through 50 Years of Change

Why should you attend SIFMA’s 2018 C&L Annual Seminar?
Hear from SIFMA EVP and General Counsel, Ira Hammerman, and SIFMA Compliance & Legal Society President, David Prince, on what this year’s Seminar has to offer.

SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. Celebrating its 50th anniversary, the 2018 Annual Seminar provides a unique opportunity for industry leaders and regulators to gather for three-days of information sharing, collaboration and networking.

Throughout the program, participants will hear from the industry’s biggest names on topical issues critical to their job functions. With more than 65, CLE eligible, breakout sessions there is truly something for everyone.

Featured Speakers

 


50th Anniversary Trivia: Who was the first-ever featured speaker at SIFMA’s C&L Annual Seminar?
Judge Stanley Sporkin! Hear what he, and more voices from our storied history, had to say in a special anniversary documentary to premier at this year’s Seminar.

Program

3:00pm – 8:00pm

Registration Desk Hours

3:00pm – 6:00pm

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty…

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty coffee break!

6:30am – 7:30am

7:00am – 2:00pm

Registration Desk Hours
Specialty Coffee Stations Sponsored by:

Covington & Burling LLP

Moore & Van Allen PLLC

Specialty Coffee Stations Sponsored by:

Covington & Burling LLP

Moore & Van Allen PLLC

7:00am – 7:30am

Networking Breakfast

7:00am – 2:00pm

Sponsored by:

KPMG LLP

Compliments of KPMG LLP, SIFMA has contracted a professional photographer to provide meeting attendees free professional headshots.  The photo booth will be located in Exhibit…

Sponsored by:

KPMG LLP

Compliments of KPMG LLP, SIFMA has contracted a professional photographer to provide meeting attendees free professional headshots.  The photo booth will be located in Exhibit Hall during Hall Hours on Monday & Tuesday.

  • No advance sign-up is required.
  • Pictures will be available on a password-protected site for the recipient to view after the meeting.
 

8:00am – 10:00am

General Session

8:00am – 8:15am

Participants

David C. Prince, Michelle Bryan Oroschakoff

Speakers

David C. Prince

General Counsel and Chief Compliance Officer

Stephens Investment Management Group, LLC

SIFMA C&L Society President

SIFMA

Michelle Bryan Oroschakoff

Chief Legal & Risk Officer

LPL Financial LLC

Seminar Chairperson

SIFMA 2018 C&L Annual Seminar

8:15am – 8:30am

50th Anniversary Presentation

8:30am – 9:00am

Participants

Kenneth E. Bentsen, Jr., Jay Clayton

Speakers

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

9:00am – 9:10am

Presentation of the Alfred J. Rauschman Memorial Award to Theodore A. Levine

9:10am – 10:00am

Participants

Andy Blocker, Kevin Bailey, Jeffrey T. Brown, Monique P. Frazier, Craig Phillips

Moderator

Andy Blocker

Head of US Government Affairs

Invesco Ltd.

Panelists

Kevin Bailey

Global Head of Regulatory Affairs

Citigroup

Jeffrey T. Brown

Senior Vice President, Legislative and Regulatory Affairs

Charles Schwab & Co., Inc.

Monique P. Frazier

Vice President, Federal Government Relations

HSBC North America Holdings Inc.

Craig Phillips

Counselor to the Secretary

U.S. Department of the Treasury

Hosted by: Deloitte

The session will explore the exceptional amount of growth in the space over the past five years and why that growth is likely to continue.  We…

Hosted by: Deloitte

The session will explore the exceptional amount of growth in the space over the past five years and why that growth is likely to continue.  We will also explore the risks associated with this growth that are beginning to manifest themselves, including: “stress on the system”  from the increasing flows into advisory accounts that may put the ability to sustain the current business and future growth at risk; and the increase in the regulatory focus and enforcement activity on managed account programs as the regulators follow the money.

Participants

Joshua Uhl

Speaker

Joshua Uhl

Senior Manager

Deloitte

Joshua Uhl’s Biography

10:30am – 11:45am

Participants

Amy Watson, Grace Ang, Kerry Gendron, Jim Giles, Carmen Lawrence

Moderator

Amy Watson

Managing Director, Executive Office Compliance

Goldman, Sachs & Co.

Panelists

Grace Ang

Executive Director, IT Contracting & Shared Services Legal

UBS AG

Kerry Gendron

Managing Director, Head of Compliance Oversight

Morgan Stanley

Carmen Lawrence

Partner

King & Spalding LLP

Participants

Anthony DeRose, Paul Carlesimo, Dana Fleischman, Darian Futrell, Michele Siano

Moderator

Anthony DeRose

Managing Director

Deutsche Bank

Panelists

Paul Carlesimo

Director

RBC Capital Markets, LLC

Dana Fleischman

Partner

Latham & Watkins LLP

Darian Futrell

Managing Director

Goldman Sachs

Michele Siano

Managing Director

Citigroup Global Markets Inc.

Participants

Scott Flood, Tonia Bottoms, Carlo V. di Florio, Michael Keats, David Levine, Rich Link

Moderator

Scott Flood

Managing Director & Senior Deputy General Counsel, Markets & Banking

Citigroup Global Markets Inc.

Panelists

Tonia Bottoms

Managing Director & Senior Managing Counsel

Pershing LLC, a BNY Mellon Company

Carlo V. di Florio

Chief Risk Officer & Head of Strategy

FINRA

Michael Keats

Partner, Litigation

Stroock & Stroock & Lavan LLP

David Levine

Chief Legal Officer

Oz Management

Rich Link

Chief Compliance Officer

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

Participants

Nate Saint Victor, Debo P. Adegbile, Gabrielle Brown, Caroline Bullerjahn, Charis Jones

Moderator

Nate Saint Victor

Executive Director, Legal & Compliance

Morgan Stanley

Panelists

Debo P. Adegbile

Partner

WilmerHale

Gabrielle Brown

Director of Diversity and Inclusion

New York City Bar

Caroline Bullerjahn

Partner

Goodwin Procter LLP

Charis Jones

Senior Vice President, Advisory Compliance

LPL Financial LLC

Participants

Tammy Bawnik, Lisa J. Bleier, Michelle Kelley, Daniel Kleinman, Carlos Pelayo

Moderator

Tammy Bawnik

Executive Director, Deputy General Counsel Legal

UBS Financial Services Inc.

Panelists

Lisa J. Bleier

Managing Director and Associate General Counsel

SIFMA

Michelle Kelley

Senior Vice President & Associate General Counsel

LPL Financial LLC

Daniel Kleinman

Partner

Morgan, Lewis & Bockius LLP

Carlos Pelayo

Wealth & Investment Management, Legal Executive

Bank of America Merrill Lynch

Participants

Eric Gallinek, Mark Carawan, Herbert Janick, John Polanin, Jr., Pamela Root, Sarah G. Smith

Moderator

Eric Gallinek

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

Bank of America Merrill Lynch

Panelists

Mark Carawan

Chief Compliance Officer

Citigroup Global Markets Inc

Herbert Janick

Partner

Sidley Austin LLP

John Polanin, Jr.

Executive Director, Global Head of Compliance

Macquarie Group

Pamela Root

Global Head of Compliance and Group Chief Compliance Officer

Deutsche Bank AG

Sarah G. Smith

Managing Director, Company Controller

Goldman, Sachs & Co.

Participants

Keri Matthews, Lisa Bertain, Allan Garcia, James McLoughlin, Carole Miller

Moderator

Keri Matthews

Principal, Head of HR Legal

Vanguard

Panelists

Lisa Bertain

Shareholder, Litigation

Keesal, Young & Logan, P.C.

Allan Garcia

Senior Counsel

Royal Bank of Canada

James McLoughlin

Member, Litigation

Moore & Van Allen, PLLC

Carole Miller

Co-Chair of Labor and Employment Practice

Bressler, Amery & Ross, P.C.

Participants

Elaine Mandelbaum, Martine Beamon, Andrew J. Ceresney, Steven Peikin, John Savarese, Samuel Seymour

Moderator

Elaine Mandelbaum

General Counsel, Litigation & Regulatory Institutional Clients Group

Citi

Panelists

Martine Beamon

Partner

Davis Polk & Wardwell LLP

Andrew J. Ceresney

Partner

Debevoise & Plimpton

Steven Peikin

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

John Savarese

Partner, Litigation

Wachtell, Lipton, Rosen & Katz

Samuel Seymour

Partner

Sullivan & Cromwell LLP

Participants

Mark Keene, Kevin Carroll, Michael Freedman, Julie Glynn, Nadar Salehi, Susan A. Schroeder

Moderator

Mark Keene

Managing Director & Associate General Counsel Legal

Bank of America Corporation

Panelists

Kevin Carroll

Managing Director & Associate General Counsel

SIFMA

Michael Freedman

Assistant General Counsel, Regulatory

Raymond James Financial, Inc.

Julie Glynn

Deputy Chief Legal Officer

J.P. Morgan Securities LLC

Nadar Salehi

Partner, SEC Enforcement

Sidley Austin LLP

Susan A. Schroeder

Executive Vice President and Head of Enforcement

FINRA

Participants

Janet Broeckel, Rose Battaglia, Jill Centella, Kelly Moore, Lani Quarmby

Moderator

Janet Broeckel

Managing Director, Associate General Counsel Litigation/Regulatory

Goldman, Sachs & Co.

Panelists

Rose Battaglia

Managing Director and Global Chief Operating Officer

Deutsche Bank AG

Jill Centella

Managing Director, Global Head of Litigation

JPMorgan Chase & Co.

Kelly Moore

Partner Litigation/White Collar

Morgan, Lewis & Bockius LLP

Lani Quarmby

Associate General Counsel and Senior Vice President

Bank of America

Participants

Angie Karna, Kyle Brandon, Michelle Broome, Annette Nazareth, Jamila Piracci, Felicia Rector

Moderator

Angie Karna

Managing Director, Legal

Nomura Secuirties, Inc.

Panelists

Kyle Brandon

Managing Director, Director of Research

SIFMA

Michelle Broome

Macquarie Group

Annette Nazareth

Partner, Financial Institutions

Davis Polk & Wardwell LLP

Jamila Piracci

Vice President, OTC Derivatives

National Futures Association (NFA)

Felicia Rector

Managing Director, Securities Division

Goldman, Sachs & Co.

11:45am – 12:15pm

Hosted by Accenture LLP

From digital transformation and the race to innovate to regulatory requirements and client demands, financial institutions are being squeezed from all sides, replacing the need…

Hosted by Accenture LLP

From digital transformation and the race to innovate to regulatory requirements and client demands, financial institutions are being squeezed from all sides, replacing the need for a roadmap with the need to continuously improve in a volatile risk ecosystem. Join Accenture’s Steve Culp to discuss these forces and their implications for the regulatory landscape and Compliance and Legal functions

Participants

Steve Culp

Speaker

Steve Culp

Senior Managing Director

Accenture

Steve Culp’s Biography

12:15pm – 1:30pm

Participants

David DeMuro, R. Gerald Baker, Beth Dorfman, Robert Errico, Louise Guarneri, Michael Stone, Edward Turan

Moderator

David DeMuro

Senior Counsel

Neal, Gerber & Eisenberg LLP

Panelists

R. Gerald Baker

Consultant

Beth Dorfman

Managing Director, Legal

Bank of America Merrill Lynch

Robert Errico

Louise Guarneri

Michael Stone

Senior Fellow & Director of Compliance

Cardozo & Fordham Law Schools

Participants

Maura Miller, Jeffrey T. Brown, Thomas Gira, T.R. Lazo, Stephen Luparello, Andre Owens

Moderator

Maura Miller

Director-Equities Compliance

Credit Suisse Securities (USA) LLC

Panelists

Jeffrey T. Brown

Senior Vice President, Legislative and Regulatory Affairs

Charles Schwab & Co., Inc.

Thomas Gira

Executive Vice President, Market Regulation

FINRA

T.R. Lazo

Managing Director & Associate General Counsel

SIFMA

Stephen Luparello

General Counsel

Citadel Securities LLC

Andre Owens

Partner, Securities

WilmerHale

Participants

Kenneth Crowley, Brian F. Amery, Richard Berry, Patricia Cowart, Shannon McDougald, Wendy Menghini

Moderator

Kenneth Crowley

Executive Director

UBS Financial Services Inc.

Panelists

Brian F. Amery

Principal

Bressler, Amery & Ross, P.C.

Richard Berry

Executive Vice President & Director of Dispute Resolution

FINRA

Patricia Cowart

Senior Company Counsel

Wells Fargo Advisors

Shannon McDougald

Partner

McDougald & Cohen, P.S.

Wendy Menghini

SVP Securities Law, Legal & Compliance Leadership

Scottrade, Inc

Participants

Thomas M. Wagner, Mark Belanger, Jonathan G. Cederbaum, Chris Hetner, Kevin Jacobsen, Alan Charles Raul

Moderator

Thomas M. Wagner

Managing Director, Financial Services Operations

SIFMA

Panelists

Mark Belanger

Vice President & Associate General Counsel

Fidelity Investments

Jonathan G. Cederbaum

Partner

WilmerHale

Chris Hetner

Senior Cybersecurity Advisor to the Chairman

U.S. Securities And Exhange Commission

Kevin Jacobsen

Executive Director, Cyber Investigations and Forensics

EY

Alan Charles Raul

Partner

Sidley Austin LLP

Participants

Ronald Long, Suzy Auletta, Susan F. Axelrod, Marin E. Gibson, Alex Sabo, Judith Shaw

Moderator

Ronald Long

Director of Regulatory Affairs and Elder Client Initiatives

Wells Fargo Advisors

Panelists

Suzy Auletta

Executive Vice President, Chief Compliance Officer

LPL Financial LLC

Susan F. Axelrod

Senior Advisor to CEO, Robert Cook and formerly Executive Vice President, Regulatory Operations

FINRA

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Judith Shaw

Securities Administrator

State of Maine Office of Securities

Participants

Cynthia B. Adams, Evan Barr, Wayne Carlin, Christopher Gilkerson, Ghillaine A. Reid

Moderator

Cynthia B. Adams

Managing Director, Litigation, Regulatory and Employment Legal

Jefferies LLC

Panelists

Evan Barr

Partner, Litigation

Fried, Frank, Harris, Shriver & Jacobson LLP

Wayne Carlin

Partner

Wachtell, Lipton, Rosen & Katz

Christopher Gilkerson

Senior Vice President and General Counsel

Charles Schwab & Co., Inc.

Ghillaine A. Reid

Partner

McGuireWoods LLP

Participants

Mei Lin Kwan-Gett, John K. Carroll, Matthew Fitzwater, Matthew Readings, Jon Roellke, Alexander Willscher

Moderator

Mei Lin Kwan-Gett

Deputy General Counsel & Head of Global Litigation

Citigroup Inc.

Panelists

Matthew Fitzwater

Managing Director, Global Head of Litigation

Barclays

Matthew Readings

Partner

Shearman & Sterling LLP

Jon Roellke

Partner

Morgan, Lewis & Bockius LLP

Alexander Willscher

Partner

Sullivan & Cromwell LLP

Participants

Amy Reich, Scott W. Anderson, Andrea DeMar, Christina Dugger, Barbara A. Stettner

Moderator

Amy Reich

General Counsel, APAC Asia Pacific Region

Citibank, N.A.

Panelists

Scott W. Anderson

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

UBS Financial

Andrea DeMar

Managing Director and the Head of Wealth Management

Deutsche Bank

Christina Dugger

Managing Director

JPMorgan Chase & Co.

Barbara A. Stettner

Managing Partner

Allen & Overy LLP

Participants

James Mangan, Adam Hakki, Brad Karp, Jay Kasner, Maeve O’Connor

Moderator

James Mangan

Managing Director & Counsel

Morgan Stanley

Panelists

Adam Hakki

Partner, Litigation

Shearman & Sterling LLP

Maeve O’Connor

Partner

Debevoise & Plimpton LLP

Participants

Allison Patton, Pamela Chepiga, Michele Coffey, Suzanne Elovic, Merri Jo Gillette, Andrew Sidman

Moderator

Allison Patton

Managing Director, Co-Head MSSB Litigation

Morgan Stanley

Panelists

Pamela Chepiga

Acting General Counsel

Allen & Overy LLP

Michele Coffey

Partner

Morgan, Lewis & Bockius LLP

Suzanne Elovic

Executive Director, Regulatory Compliance

UBS AG

Merri Jo Gillette

Deputy General Counsel

Edward Jones

Andrew Sidman

Member, Securities

Bressler, Amery & Ross, P.C.

Participants

John Ivan, Tricia Centeno, Ben A. Indek, Rose-Anne Richter, Alexander Schneble

Moderator

John Ivan

Managing Director

Capital Forensics, Inc.

Panelists

Tricia Centeno

Director of Compliance

Wells Fargo Clearing Services, LLC

Ben A. Indek

Partner

Morgan, Lewis & Bockius

Rose-Anne Richter

CCO, Wealth Management

Morgan Stanley

Alexander Schneble

Director of PWM Compliance and AMLCO

Robert W. Baird & Co. Incorporated

1:30pm – 2:30pm

Sponsored by:

Jones Day

Sponsored by:

Jones Day

Sponsored by:

Clifford Chance

All are Welcome.  Pre-registration required. Please contact [email protected]

Sponsored by:

Clifford Chance

All are Welcome.  Pre-registration required. Please contact [email protected]

Participants

Leslie R. Caldwell

Speaker

Leslie R. Caldwell

Partner

Latham & Watkins LLP

Hosted by Accenture LLP

Pre-registration is required

Join leaders of Accenture’s Regulatory and Compliance practice to discuss how industry leading Compliance and Legal functions are today adapting to the…

Hosted by Accenture LLP

Pre-registration is required

Join leaders of Accenture’s Regulatory and Compliance practice to discuss how industry leading Compliance and Legal functions are today adapting to the demands of the future. Hear practical examples of how functions are deploying dependable RegTech solutions, adopting intelligent automation at scale, and driving innovation in their operating model to deliver a more sustainable function that can be a strategic advisor to the business in an era of continued digital disruption.

Participants

Chris Beck, Jonathan Frieder, Samantha Regan, Ben Shorten, Robimon Varughese

Speakers

Chris Beck

Legal Transformation Lead, North America

Accenture

Chris Beck’s Biography

Jonathan Frieder

Compliance Technology Lead, North America

Accenture

Jonathan Frieder’s Biography

Samantha Regan

Global Regulatory and Compliance Practice Lead

Accenture

Samantha Regan’s Biography

Ben Shorten

Compliance Transformation Lead, North America

Accenture

Ben Shorten’s Biography

Robimon Varughese

Regulatory & Compliance Technology Lead, North America

Accenture

Robimon Varughese’s Biography

1:30pm – 6:00pm

The Ritz-Carlton Golf Club, Orlando. Pre-Registration is required. Please contact [email protected]  

The Ritz-Carlton Golf Club, Orlando. Pre-Registration is required. Please contact [email protected]  

7:00am – 2:00pm

Registration Desk Hours
Specialty Coffee Stations Sponsored by:

Hogan Lovells US LLP

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning…

Specialty Coffee Stations Sponsored by:

Hogan Lovells US LLP

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty coffee break!

7:00am – 7:40am

7:00am – 7:45am

Sponsored by:

WilmerHale

All are Welcome.  Pre-registration required.  Please contact [email protected]

Sponsored by:

WilmerHale

All are Welcome.  Pre-registration required.  Please contact [email protected]

Participants

Christopher Lewis, Ronald E. Wood

Speakers

Christopher Lewis

General Counsel

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

Ronald E. Wood

Partner

Brown White & Osborn LLP

7:00am – 2:00pm

Sponsored by:

KPMG LLP

Compliments of KPMG LLP, SIFMA has contracted a professional photographer to provide meeting attendees free professional headshots.  The photo booth will be located in Exhibit…

Sponsored by:

KPMG LLP

Compliments of KPMG LLP, SIFMA has contracted a professional photographer to provide meeting attendees free professional headshots.  The photo booth will be located in Exhibit Hall during Hall Hours on Monday & Tuesday.
  • No advance sign-up is required.
  • Pictures will be available on a password-protected site for the recipient to view after the meeting.
 

8:00am – 9:50am

General Session

8:00am – 8:05am

Welcome Remarks

8:05am – 8:35am

Participants

Robert W. Cook, Ira D. Hammerman

Speakers

Robert W. Cook

President and Chief Executive Officer

FINRA

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

8:35am – 9:50am

Participants

Stephen M. Cutler, Stephanie Avakian, David Green CB QC, James McDonald, Steven Peikin, Susan A. Schroeder, Mary Jo White

Moderator

Stephen M. Cutler

Vice Chairman

JPMorgan Chase & Co.

Panelists

Stephanie Avakian

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

David Green CB QC

Director of the Serious Fraud Office

Serious Fraud Office

James McDonald

Director, Division of Enforcement

U.S. Commodity Futures Trading Commission

Steven Peikin

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Susan A. Schroeder

Executive Vice President and Head of Enforcement

FINRA

Mary Jo White

Partner

Debevoise & Plimpton

9:50am – 10:20am

Networking Break
Hosted by: Deloitte

We explore: 1) the many potential benefits that the Cloud may present for recordkeeping technology used by financial services firms and 2) the compliance and legal…

Hosted by: Deloitte

We explore: 1) the many potential benefits that the Cloud may present for recordkeeping technology used by financial services firms and 2) the compliance and legal implications that must be evaluated when considering adopting cloud technology for regulatory compliance.

Participants

Terry Bock

Speaker

10:20am – 11:35am

Participants

Howard R. Plotkin, Robert Colby, Thomas Gira, Susan L. Merrill, Michael Rufino, Bill Wollman

Moderator

Howard R. Plotkin

Managing Director & U.S. Chief Compliance Officer

Royal Bank of Canada

Panelists

Robert Colby

Chief Legal Officer

FINRA

Thomas Gira

Executive Vice President, Market Regulation

FINRA

Susan L. Merrill

Partner

Sidley Austin LLP

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Bill Wollman

Executive Vice President, Member Regulation - Regulatory Oversight & Operational Regulation

FINRA

Participants

Jill Ostergaard, Mario DiFiore, Daniel Kosowsky, Michael Schlee, Grace Vogel

Moderator

Jill Ostergaard

Partner and CCO

Exos TFP

Panelists

Mario DiFiore

Professor and Assistant Dean, Gabelli School of Business

Fordham University

Daniel Kosowsky

CCO, Americas Institutional Securities

Morgan Stanley

Michael Schlee

Managing Director

Goldman, Sachs & Co.

Grace Vogel

Managing Director, Financial Services Advisory Practice

PwC

Participants

David Markowitz, Alex Bourelly, Aitan D. Goelman, Kevin Loftus, Kathryn H. Ruemmler, Linda Thomsen

Moderator

David Markowitz

Managing Director

Goldman, Sachs & Co.

Panelists

Alex Bourelly

Partner

Baker Botts LLP

Aitan D. Goelman

Partner

Zuckerman Spaeder LLP

Kevin Loftus

Managing Director, Associate General Counsel

JPMorgan Chase & Co.

Kathryn H. Ruemmler

Partner

Latham & Watkins LLP

Linda Thomsen

Partner

Davis Polk & Wardwell LLP

Participants

Carter K. McDowell, Hugh C. Conroy, Jr., Kathryn McCulloch, Reena Agrawal Sahni, Phillip Wertz

Moderator

Carter K. McDowell

Managing Director, Associate General Counsel

SIFMA

Panelists

Hugh C. Conroy, Jr.

Counsel

Cleary Gottlieb Steen & Hamilton LLP

Kathryn McCulloch

Managing Director & Associate General Counsel

JPMorgan Chase & Co.

Reena Agrawal Sahni

Partner

Shearman & Sterling LLP

Phillip Wertz

Associate General Counsel

Bank of America

Participants

Robert O’Connor, Ornella Bergeron, Kevin J. Campion, Michael Huber, Michael A. Macchiaroli

Moderator

Robert O’Connor

Managing Director

Morgan Stanley

Panelists

Ornella Bergeron

Senior Vice President, Risk Oversight & Operational Regulation

FINRA

Kevin J. Campion

Partner

Sidley Austin LLP

Michael Huber

Managing Director and Associate General Counsel

Goldman, Sachs & Co.

Michael A. Macchiaroli

Associate Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Participants

John Juul, Elizabeth H. Baird, Leslie Norwood, Michael L. Post, Timothy Smith, Michelle Wilke

Moderator

John Juul

Compliance General Manager

Deutsche Bank

Panelists

Elizabeth H. Baird

Partner

Morgan, Lewis & Bockius LLP

Leslie Norwood

Managing Director & Associate General Counsel, Municipal Securities Division

SIFMA

Michael L. Post

General Counsel

Municipal Securities Rulemaking Board

Timothy Smith

Managing Director

Jefferies LLC

Michelle Wilke

Executive Director, Legal & Compliance

Morgan Stanley

Participants

Jennifer Inker, George S. Canellos, Patrick Cox, Colleen P. Mahoney, Lorin L. Reisner, Louis Santangelo

Moderator

Jennifer Inker

Senior Vice President, DGC, Head of Employment Law Group

Fidelity Investments

Panelists

George S. Canellos

Partner

Milbank, Tweed, Hadley & McCloy LLP

Patrick Cox

Executive Vice President & Deputy General Counsel

LPL Financial LLC

Colleen P. Mahoney

Partner, Securities Enforcement, Government Enforcement and White Collar Crime

Skadden, Arps, Slate, Meagher & Flom LLP

Louis Santangelo

Senior Counsel, Employment Law

Societe Generale

Participants

Jane Matoesian, Gary England, Peter S. Fruin, Steven Greenbaum, James Ritt

Moderator

Jane Matoesian

Senior Vice President and Managing Counsel

Benjamin F. Edwards & Co.

Panelists

Gary England

Executive Vice President, Chief Legal Officer

J.J.B. Hilliard, W.L. Lyons, LLC

Peter S. Fruin

Shareholder

Maynard, Cooper & Gale, P.C.

Steven Greenbaum

General Counsel

TradeStation Securities, Inc.

James Ritt

Chief Compliance Officer & General Counsel

Wunderlich Securities, Inc.

Participants

Gary Rosen, Hannah Berkowitz, James McHale, Dan Rosenbaum, Douglas Siegel, Michael Walsh

Moderator

Gary Rosen

Managing Director

Citigroup Global Markets Inc.

Panelists

Hannah Berkowitz

Shareholder

Murphy & McGonigle, P.C.

James McHale

Executive Vice President & Chief Compliance Officer

Wells Fargo Clearing Services, LLC

Dan Rosenbaum

Associate General Counsel

UBS Financial Services

Douglas Siegel

Managing Director & Chief Compliance Officer

Oppenheimer

Michael Walsh

Assistant Vice President

Federal Reserve Bank of New York

Participants

Mary Reisert, Roman Martinez, Erin E. Murphy, Mark A. Perry, Barry Richard, Paul R.Q. Wolfson

Moderator

Mary Reisert

Managing Director, Legal Department

Citigroup Global Markets, Inc.

Panelists

Roman Martinez

Partner

Latham & Watkins LLP

Erin E. Murphy

Partner

Kirkland & Ellis LLP

Mark A. Perry

Partner

Gibson, Dunn & Crutcher LLP

Barry Richard

Shareholder

Greenberg Traurig, LLP

Paul R.Q. Wolfson

Partner

WilmerHale

Participants

Bari M. Havlik, Susan F. Axelrod, Brandon A. Gilchrist, Stacie Owens, Neil Rosolinsky

Moderator

Bari M. Havlik

Panelists

Susan F. Axelrod

Senior Advisor to CEO, Robert Cook and formerly Executive Vice President, Regulatory Operations

FINRA

Brandon A. Gilchrist

Assistant Vice President, Surveillance & Investigations

LPL Financial LLC

Stacie Owens

Associate General Counsel

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

Neil Rosolinsky

Deputy General Counsel

Citizens Bank

11:35am – 12:05pm

Networking Break

12:05pm – 1:20pm

Participants

Norman Ashkenas, John V. Ayanian, Emma Bredin, Joseph Lodato, Karen Trapani

Moderator

Norman Ashkenas

Senior Vice President & Chief Compliance Officer

Fidelity

Panelists

John V. Ayanian

Partner

Morgan, Lewis & Bockius LLP

Emma Bredin

Chief Compliance Officer

Raymond James Financial, Inc.

Joseph Lodato

Global Head of Compliance Technology and Surveillance

Guggenheim Partners, LLC

Karen Trapani

Vice President

Goldman, Sachs & Co.

Participants

Harry T. Walters, Darya Geetter, Mai Klaassen, Donald R. Littlefield, Andrew Melnick

Moderator

Harry T. Walters

Managing Director, Co-Head MSSB Litigation

Morgan Stanley

Panelists

Darya Geetter

Executive Vice President & Deputy General Counsel

LPL Financial LLC

Mai Klaassen

VP, Associate General Counsel

Charles Schwab

Donald R. Littlefield

Partner

Ballard & Littlefield, LLP

Andrew Melnick

Shareholder

Murphy & McGonigle, P.C.

Participants

I. Scott Bieler, Susan F. Axelrod, Belinda Blaine, Mike Silva, Mark Steffensen

Moderator

I. Scott Bieler

Senior Vice President & Deputy General Counsel

Fidelity

Panelists

Susan F. Axelrod

Senior Advisor to CEO, Robert Cook and formerly Executive Vice President, Regulatory Operations

FINRA

Belinda Blaine

Managing Director

Morgan Stanley

Mike Silva

Partner and Chair of the Financial Services Regulatory

DLA Piper

Mark Steffensen

Senior Executive Vice President & General Counsel

HSBC

Participants

Katrina A. Carroll, Charlie George, Jeffrey Horowitz, Satish M. Kini, Aseel Rabie, Michael Rufino

Moderator

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Panelists

Charlie George

Senior Vice President, Group Financial Crimes Manager

Wells Fargo Bank

Jeffrey Horowitz

Managing Director and Global Head of Compliance

Pershing LLC, BNY Mellon Company

Satish M. Kini

Partner

Debevoise and Plimpton

Aseel Rabie

Managing Director, Associate General Counsel

SIFMA

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Participants

Maria Douvas, Christian R. Bartholomew, Caroline Hall, David Knight, James Meadows, Lee S. Richards III

Moderator

Maria Douvas

Managing Director & Assistant General Counsel

RBC Capital Markets, LLC

Panelists

Christian R. Bartholomew

Partner

Jenner & Block

Caroline Hall

Senior Vice President & Associate General Counsel

Raymond James Financial, Inc.

David Knight

Executive Vice President & General Counsel

Stephens, Inc.

James Meadows

Head of Litigation

Barclays

Lee S. Richards III

Partner

Richards Kibbe & Orbe LLP

Participants

C. Annette Kelton, James Brigagliano, Matthew Danton, Jon Kroeper, Nick Sahadi

Moderator

C. Annette Kelton

Associate General Counsel & Head of Equities

Goldman, Sachs & Co.

Panelists

James Brigagliano

Partner

Sidley Austin LLP

Matthew Danton

Director

Barclays

Jon Kroeper

Senior Vice President

FINRA

Nick Sahadi

‎Managing Director, Americas Head of Markets Compliance

HSBC

Participants

Patrick Moran, Craig Barrack, Todd Baskin, Sipi Bhandari, Michael Kaplan

Moderator

Patrick Moran

General Counsel

Goldman, Sachs & Co.

Panelists

Craig Barrack

Managing Director & General Counsel

Citigroup

Todd Baskin

Managing Director & Associate General Counsel

Bank of America Merrill Lynch

Sipi Bhandari

General Counsel

Deutsche Bank

Michael Kaplan

Partner

Davis Polk & Wardwell LLP

Participants

Anne Cooney, Joe Fleming, Jack McGuire, Scott M. Murray, Neal E. Sullivan, Brent H. Taylor

Moderator

Anne Cooney

Managing Director, General Counsel

Morgan Stanley Wealth Management

Panelists

Joe Fleming

Senior Vice President & Chief Compliance Officer

Ameriprise Financial, Inc.

Jack McGuire

Managing Director/Deputy General Counsel, Director Of Litigation

Oppenheimer

Scott M. Murray

Senior Vice President and Director of Regulatory Compliance

Wells Fargo

Neal E. Sullivan

Partner

Sidley Austin LLP

Brent H. Taylor

Managing Director & General Counsel

UBS

Participants

Greg Ruppert, Joseph P. Borg, Karen Crupi, Henry Klehm III, Ilene Marquardt, Scott Nussbum

Moderator

Greg Ruppert

Bank Secrecy Act Officer, Senior Vice President, Corporate Risk Management

Charles Schwab & Co., Inc.

Panelists

Joseph P. Borg

Securities Comissioner

Alabama Securities Commissioner

Board of Directors Member

North American Securities Administrators Association (NASAA)

Karen Crupi

Senior Vice President, Deputy General Counsel

Fidelity Investments

Henry Klehm III

Partner

Jones Day

Ilene Marquardt

Head of Litigation & Regulatory

UBS

Scott Nussbum

Senior Vice President, Chief of the Special Investigations

LPL Financial LLC

Participants

Carrie Chelko, Jacqueline Beauprez, Jeffry Freiburger, Paula D. Shaffner, Alan Smith

Moderator

Carrie Chelko

Chief Counsel

Lincoln Financial Distributors, Inc.

Panelists

Jacqueline Beauprez

Senior Vice President & General Counsel

D.A. Davidson & Co.

Jeffry Freiburger

Managing Director and Chief Compliance Officer

Robert W. Baird & Co.

Paula D. Shaffner

Co-Chair, Securities Litigation & Enforcement

Stradley Ronon Stevens & Young, LLP

Alan Smith

Vice President & Deputy General Counsel

Janney Montgomery Scott LLC

Participants

Janet Epstein, Giulio Girardi, Scott B. Reents, Jonathan S. Sokobin, Mayur Thakur

Moderator

Janet Epstein

Vice President & Chief Compliance Counsel

Charles Schwab & Co., Inc

Panelists

Giulio Girardi

Branch Chief, Supervisory Financial Economist, Office of Risk Assessment

U.S. Securities and Exchange Commission

Scott B. Reents

Lead Attorney, Data Analytics and E-Discovery, Litigation

Cravath, Swaine & Moore LLP

Jonathan S. Sokobin

Chief Economist

FINRA

Mayur Thakur

Managing Director

Goldman, Sachs & Co.

1:20pm – 2:30pm

Hosted by Integreon

Pre-registration is required

Operationalize processes to support reasonable, repeatable, and defensible discovery in litigation and regulatory inquiries and investigations. Topics will include options to work with…

Hosted by Integreon

Pre-registration is required

Operationalize processes to support reasonable, repeatable, and defensible discovery in litigation and regulatory inquiries and investigations. Topics will include options to work with all your partners to strengthen consistent end to end workflow.

Participants

Robert Daniel, Craig Smith

Speakers

Robert Daniel

Senior Director, Financial Services Practice Group

Integreon

Robert Daniel’s Biography

Craig Smith

Practice Leader, Financial Services

Integreon

Craig Smith’s Biography

Hosted by: QuisLex, Inc.

Pre-registration is required

Senior in-house counsel and law firm partners often don’t concern themselves with the nuances of eDiscovery or the day-to-day details of how…

Hosted by: QuisLex, Inc.

Pre-registration is required

Senior in-house counsel and law firm partners often don’t concern themselves with the nuances of eDiscovery or the day-to-day details of how their firms handle discovery. However, there are certain hot button issues and new developments in eDiscovery that can significantly affect outcomes, departmental budgets, or organizational risk and cannot be ignored. Some present challenges, while others present opportunities. This session will feature senior counsel discussing the issues and developments their peers should prioritize in their limited time and how to make sure their departments have a strategy to understand and address topics such as the rise of artificial intelligence, the evolving data privacy landscape, and discovery of new forms of data (e.g., social media, audio, etc.) that are significantly impacting costs, case strategy, and results.

Participants

Kelly Carrero, Andrew Goodman, Joseph Polizzotto, Kelli Stenstrom

Speakers

Kelly Carrero

Partner

Jones Day

Kelly Carrero’s Biography

Andrew Goodman

Associate Vice President, Litigation Services

QuisLex, Inc.

Andrew Goodman’s Biography

Joseph Polizzotto

Senior Vice President, Strategy & Client Services

QuisLex, Inc.

Joseph Polizzotto’s Biography

Kelli Stenstrom

Global Head of Legal eDiscovery, Director & Associate General Counsel

Deutsche Bank AG

Kelli Stenstrom’s Biography

Hosted by Actiance, Inc.

Pre-registration is required

In 2016 FINRA brought 1434 disciplinary actions against registered individuals and firms, and levied $176.3M in fines.

With the ongoing onslaught on…

Hosted by Actiance, Inc.

Pre-registration is required

In 2016 FINRA brought 1434 disciplinary actions against registered individuals and firms, and levied $176.3M in fines.

With the ongoing onslaught on new social media channels, voice, mobile, and messaging apps entering the workforce, are you able to capture and review all communications used by your firm today?

Join us for lunch for an interactive discussion on the latest regulatory requirements and how to implement an effective and efficient supervision strategy that addresses the compliance needs of an evolving communications landscape.

RSVP now and learn:

  • Top communications priorities outlined by FINRA, IIROC, and SEC
  • How to capture and supervise these new forms of communications like WeChat and WhatsApp, among others
  • How Actiance can help you navigate compliance complexities and meet your Supervision obligations with confidence
 

Participants

Robert Cruz, Jonathan Rudolph, J.D., Marianna Shafir

Speakers

Robert Cruz

Senior Director, Information Governance

Actiance, Inc.

Robert Cruz’s Biography

Jonathan Rudolph, J.D.

Director Professional Services

Actiance, Inc.

Jonathan Rudolph, J.D.’s Biography

Marianna Shafir

Corporate Counsel and Regulatory Advisor

Smarsh, Inc.

Marianna Shafir’s Biography

Hosted by Exiger

Pre-registration is required

You’ve been improving the fitness of your BSA/AML and OFAC program to meet increasingly stringent regulatory demands. But, is bad data sabotaging your…

Hosted by Exiger

Pre-registration is required

You’ve been improving the fitness of your BSA/AML and OFAC program to meet increasingly stringent regulatory demands. But, is bad data sabotaging your efforts?

RSVP to join technologists and industry leaders for this practical session. Our interactive Lunch & Learn will unpack recent trends in regulatory scrutiny related to data management, including:
  • How data translation - from banking systems to compliance systems - can create latent issues
  • How dashboarding can empower compliance to identify both data quality issues and benefits
  • How to enable investigations through data driven practices

Participants

Brandon Daniels, John Melican

Speakers

Brandon Daniels

President, ExigerTech and Global Head of Analytics

Exiger

Brandon Daniels’s Biography

John Melican

Americas Regional Chair and Global Head, Financial Crimes Practice

Exiger

John Melican’s Biography

3:00pm – 5:00pm

Sponsored by:

Sidley Austin LLP

All are Welcome.  Pre-registration required. Please contact [email protected]

Sponsored by:

Sidley Austin LLP

All are Welcome.  Pre-registration required. Please contact [email protected]

6:00pm – 8:30pm

Co-Sponsored by:

Allen & Overy LLP

Bressler, Amery & Ross, P.C.

Exiger

Kirkland & Ellis LLP

In celebration of the Annual Seminar’s 50TH Anniversary, please join…

Co-Sponsored by:

Allen & Overy LLP

Bressler, Amery & Ross, P.C.

Exiger

Kirkland & Ellis LLP

In celebration of the Annual Seminar’s 50TH Anniversary, please join us for a festive celebration at the Closing Night Reception.

10:00pm – 12:00am

7:15am – 11:55am

Registration Desk Hours
Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty…

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty coffee break!

7:15am – 8:00am

Networking Breakfast

8:00am – 10:00am

General Session

8:00am – 8:05am

Welcome Remarks

8:05am – 9:00am

Participants

Stacey Friedman, Susan F. Axelrod, Ted Dowd, Brett Redfearn, Amir Zaidi

Moderator

Stacey Friedman

Executive Vice President and General Counsel

JPMorgan Chase & Co.

Panelists

Susan F. Axelrod

Senior Advisor to CEO, Robert Cook and formerly Executive Vice President, Regulatory Operations

FINRA

Ted Dowd

Director, Securities and Corporate Practices

Office of the Comptroller of the Currency

Brett Redfearn

Director of the Division of Trading and Markets

U.S. Securities and Exchange Commission

Amir Zaidi

Director of the Division of Market Oversight

U.S. Commodity Futures Trading Commission

9:00am – 10:00am

Participants

General Michael Hayden

Speaker

General Michael Hayden

Former Director of the CIA and Former Director of the NSA

10:00am – 10:20am

Networking Break

10:20am – 11:35am

Participants

Alexander C. Gavis, Cheryl L. Haas, Amy Hinzmann, Kavita Jain, Natalie R. Williams

Moderator

Alexander C. Gavis

Senior Vice President & Deputy General Counsel

Fidelity Investments

Panelists

Cheryl L. Haas

Partner

McGuireWoods LLP

Amy Hinzmann

Managing Director

Consilio LLC

Kavita Jain

Director, Emerging Regulatory Issues

FINRA

Natalie R. Williams

General Counsel , Responsible Banking & Data

JPMorgan Chase & Co.

Participants

AnnMarie Davis, John P. Davis, David Erb, Beverly Slaughter, Julie L. Taylor

Moderator

AnnMarie Davis

Vice President, Employment Practices

Raymond James Financial Services, Inc

Panelists

John P. Davis

Executive Director, Employment Counsel

Morgan Stanley

David Erb

Partner

Fisher & Phillips LLP

Beverly Slaughter

Managing Counsel

Wells Fargo Clearing Services LLC

Julie L. Taylor

Shareholder

Keesal, Young & Logan, P.C.

Participants

Alison Morpurgo-Cotter, James Collins, Lucas Glass, Rebecca Leon, Joan Schwartz

Moderator

Alison Morpurgo-Cotter

Managing Director, Global Head Cross-Border Legal

UBS Financial Services Inc.

Panelists

James Collins

Director, International Compliance

Charles Schwab & Co., Inc.

Lucas Glass

Senior Counsel

Wells Fargo & Company

Rebecca Leon

Partner

Holland & Knight LLP

Joan Schwartz

Chief Legal Officer

Pershing LLC, a BNY Mellon Company

Participants

David Heaton, David Forman, Jennifer Grego, Susan Steinthal, Stephen P. Wink

Moderator

David Heaton

Managing Director-Associate General Counsel Merrill Edge, Preferred and Small Business Banking

Bank of America Corporation

Panelists

David Forman

Vice President & Associate General Counsel

Fidelity Investments

Jennifer Grego

Managing Director, Wealth Management Compliance

Morgan Stanley

Susan Steinthal

EVP & Deputy General Counsel

Citizens Bank

Stephen P. Wink

Partner

Latham & Watkins LLP

Participants

Jeffrey Harwin, Carlton Greene, Katie Allen Kessler, Jeffrey M. King, Thomas Koffer

Moderator

Jeffrey Harwin

Managing Director, Head of Financial Crime, Investment Bank Financial Crime Compliance

Barclays Capital Inc.

Panelists

Carlton Greene

Partner

Crowell & Moring LLP

Katie Allen Kessler

Managing Director

Citi

Jeffrey M. King

Associate General Counsel & Managing Director

Bank of America Merrill Lynch

Thomas Koffer

Global Head of Anti-Corruption & Economic Sanctions Compliance

Credit Suisse Securities (USA) LLC

Participants

Ellen Koplow, Stacey Friedman, Christopher Lewis, Adam Meshel, Jonathan Santelli, Theodore Wells, Jr.

Moderator

Ellen Koplow

Executive Vice President & General Counsel

TD Ameritrade Holding Corporation

Panelists

Stacey Friedman

Executive Vice President and General Counsel

JPMorgan Chase & Co.

Christopher Lewis

General Counsel

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

Adam Meshel

Managing Director & Global General Counsel

Citi

Jonathan Santelli

General Counsel & Corporate Secretary

Raymond James Financial Services, Inc

Theodore Wells, Jr.

Partner

Paul, Weiss, Rifkind, Wharton & Garrison LLP

Participants

Pamela Torres, Raymond Abbott, Sean C. Davy, Sofia Logue, Stephanie Nicolas, Philip Shaikun

Moderator

Pamela Torres

General Counsel of Global Investment Research

Goldman, Sachs & Co.

Panelists

Raymond Abbott

Managing Director & Associate General Counsel for Global Research

Bank of America Merrill Lynch

Sean C. Davy

Managing Director, Capital Markets

SIFMA

Sofia Logue

Managing Director Global Control Group, IB and Research Compliance

Jefferies LLC

Stephanie Nicolas

Partner

WilmerHale

Philip Shaikun

Vice President and Associate General Counsel

FINRA

Participants

Joshua E. Levine, Bridget Fitzpatrick, Randall Lee, Michael Schachter, Matthew Solomon

Moderator

Joshua E. Levine

Managing Director and General Counsel – ICG Regulatory Enforcement

Citigroup

Panelists

Bridget Fitzpatrick

Chief Litigation Counsel

U.S. Securities and Exchange Commission

Randall Lee

Attorney

WilmerHale

Michael Schachter

Partner

Willkie Farr & Gallagher LLP

Matthew Solomon

Senior Vice President and Senior Regional Director

Cleary Gottlieb Steen & Hamilton LLP

Participants

Rena Shadowitz, Douglas Frankel, David Lynch, Jai Massari, Ryan Taylor

Moderator

Rena Shadowitz

Managing Director, Compliance

Bank of America Merrill Lynch

Panelists

Douglas Frankel

Director, Compliance and Regulatory Affairs

Credit Suisse

David Lynch

Deputy Associate Director

Federal Reserve Board

Jai Massari

Partner

Davis Polk & Wardwell LLP

Ryan Taylor

Managing Director, Head of Dodd-Frank, Volcker Compliance

RBC Capital Markets, LLC

Participants

Nancy Swift, David DiBari, Raymond Dorado, Una Neary, Andrew Weinberg

Moderator

Nancy Swift

Deputy Chief Compliance Officer, Institutional & Brokerage

Wells Fargo & Company

Panelists

David DiBari

Managing Partner, Litigation & Dispute Resolution

Clifford Chance US LLP

Raymond Dorado

Executive Vice President & Deputy General Counsel

Citizens Bank

Una Neary

Managing Director & Head of BHC Compliance

Goldman, Sachs & Co.

Andrew Weinberg

Managing Director, GBAM Compliance Executive

Bank of America Corporation

Participants

Melissa MacGregor, Mariano Agmi, Mike Conley, Paul Merolla, Hillary Russell-Pelletier, Joshua Uhl

Moderator

Melissa MacGregor

Managing Director and Associate General Counsel

SIFMA

Panelists

Mariano Agmi

Americas Head of Monitoring & Surveillance and Technology Compliance

Macquarie Group

Mike Conley

Director of Data, Analytics, & Regulatory Technology

Wells Fargo Clearing Services, LLC

Paul Merolla

Partner

Murphy & McGonigle, P.C.

Hillary Russell-Pelletier

SVP, Privacy & Vendor Risk Management

LPL Financial LLC

Joshua Uhl

Senior Manager

Deloitte

11:35am – 11:55am

Networking Break

11:55am – 1:10pm

Participants

Elizabeth “Paige” Baumann, James Fiebelkorn, Michelle Goodsir, John O’Neill, Paul M. Tyrrell

Moderator

Elizabeth “Paige” Baumann

Senior Vice President, Chief Anti-Money Laundering Officer

Fidelity Investments

Panelists

James Fiebelkorn

Vice President and Global AML Officer

Ameriprise Financial Services Inc.

Michelle Goodsir

Global Head of Anti-Bribery and Corruption and Anti-Fraud & Investigations

Deutsche Bank

John O’Neill

SVP, Surveillance

UBS AG

Paul M. Tyrrell

Partner

Sidley Austin LLP

Participants

Helene Jepson, Nanna Goodfellow, Gina E. Hyde, Kathleen Maloney, Mike Nicholson

Moderator

Helene Jepson

Senior Vice President, Enterprise Chief Compliance Officer

First Republic Bank

Panelists

Nanna Goodfellow

National Bank Examiner

Office of the Comptroller of the Currency (OCC)

Gina E. Hyde

Chief Compliance Officer, Capital Markets

Stifel Financial Corp.

Kathleen Maloney

Managing Director

Citigroup Inc.

Mike Nicholson

Director of Internal Controls

Wells Fargo Clearing Services, LLC

Participants

Andrew Stemmer, Patricia Canavan, Colleen Conry, Steven R. Glaser, Julie M. Riewe, Richard C. Tarlowe

Moderator

Andrew Stemmer

Director & Senior Counsel, Litigation & Regulatory Investigations

Deutsche Bank AG

Panelists

Patricia Canavan

Executive Director and Counsel

UBS AG

Colleen Conry

Partner

Ropes & Gray LLP

Steven R. Glaser

Partner, Government Enforcement and White Collar Crime

Skadden, Arps, Slate, Meagher & Flom LLP

Julie M. Riewe

Partner

Debevoise & Plimpton

Participants

Kurt Lofgren, Mackenzie Crane, Mara Galeano, Jennifer Klass, Maureen Sheehan

Moderator

Kurt Lofgren

SVP, Advisory CCO

LPL Financial LLC

Panelists

Mackenzie Crane

Assistant General Counsel

Bank of America

Mara Galeano

Managing Director & Deputy General Counsel

UBS Financial Services Inc.

Jennifer Klass

Partner

Morgan, Lewis & Bockius, LLP

Maureen Sheehan

Senior Counsel

Wells Fargo Advisors

Participants

Christine Frye, Patrick Chavez, Michael S. Pieciak, James E. Powell, Paul M. Rosen, Heather Egan Sussman

Moderator

Christine Frye

Senior Vice President and Chief Privacy Officer

Bank of America

Panelists

Patrick Chavez

Chief Privacy Officer & Associate General Counsel / Leader, RIM Program

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

Michael S. Pieciak

Commissioner

Vermont Department of Financial Regulation

James E. Powell

Senior Vice President & Chief Information Security Officer

LPL Financial LLC

Paul M. Rosen

Partner

Crowell & Mooring LLP

Heather Egan Sussman

Partner

Ropes & Gray LLP

Participants

Iain Duke-Richardet, Yoon-Young Lee, Matthew Moore, Bill Wollman, Kevin Zambrowicz

Moderator

Iain Duke-Richardet

Central & Technology Compliance

RBC Capital Markets, LLC

Panelists

Yoon-Young Lee

Partner

WilmerHale

Matthew Moore

Managing Director, Global Head of Employee Compliance, Head of Central Compliance, Americas

Deutsche Bank Securities

Bill Wollman

Executive Vice President, Member Regulation - Regulatory Oversight & Operational Regulation

FINRA

Kevin Zambrowicz

Managing Director, Associate General Counsel

SIFMA

Participants

Joe Salama, David Brodsky, Susanna M. Buergel, Tracy L. Gerber, Charlene Jones, Peter Kozlowski

Moderator

Joe Salama

Associate General Counsel & Global Head of Litigation and Regulatory Enforcement

Deutsche Bank AG

Panelists

David Brodsky

Principal

Brodsky ADR LLC

Tracy L. Gerber

Shareholder

Greenberg Traurig, LLP

Charlene Jones

Director, Associate General Counsel

Citi

Peter Kozlowski

Managing Director

Credit Suisse Securities (USA) LLC

Participants

Bari Jane Wolfe, Joseph P. Borg, Susan Boudrot, Gary DeWaal, Gus Stergiopoulos, Valerie A. Szczepanik

Moderator

Bari Jane Wolfe

Managing Director & Head of Regulatory Relations

Depository Trust & Clearing Corporation

Panelists

Joseph P. Borg

Securities Comissioner

Alabama Securities Commissioner

Board of Directors Member

North American Securities Administrators Association (NASAA)

Susan Boudrot

Managing Director and Global CCO

TD Ameritrade Holding Corporation

Gary DeWaal

Special Counsel

Katten Muchin Rosenman LLP

Gus Stergiopoulos

Director

RBC Capital Markets, LLC

Valerie A. Szczepanik

Assistant Director in the Asset Management Unit of the Division of Enforcement

U.S. Securities and Exchange Commission

1:10pm – 1:10pm

Seminar Adjourns

Venue

JW Marriott Orlando, Grande Lakes

4040 Central Florida Parkway
Orlando, FL 32837

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

Hotel Accommodations

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

JW Marriott & Ritz-Carlton Orlando Grande Lakes

Room Rates:
Standard Room: $335 per night plus taxes + fees
King Bed Pool View: $365 per night plus taxes +fees
Two Queen Bed Pool View: $375 per night plus taxes + fees

Ritz-Carlton Orlando Grande Lakes Room Rates:
Standard Room: $365 per night plus taxes + fees
King Bed Pool View: $395 per night plus taxes + fees
Two Queen Bed Pool View: $405 per night plus taxes + fees
Executive Suite: $999 per night plus taxes + fees

To secure a room at the JW Marriott Orlando or the Ritz-Carlton Grande Lakes at the SIFMA group rate, you must be registered to attend the 2018 C&L Annual Seminar by Friday, February 2, 2018. Please note that any hotel room reservations 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.

Cancellation Policy: If a confirmed reservation is cancelled after Tuesday, February 20, 2018, 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 Hotel:

Renaissance Orlando at SeaWorld
6677 Sea Harbor Drive
Orlando, FL 32821

Click HERE to add your name to the waiting list at the Renaissance Orlando at SeaWorld.

Renaissance Orlando at SeaWorld Room Rates:
Standard Room: $249 per night plus taxes + fees

Shuttle bus service will be provided between the Renaissance Orlando at SeaWorld and the JW Marriott Grande Lakes during seminar hours. The Renaissance is located 4.5 miles away from Grande Lakes and, it is a ten minute drive between properties.

Cancellation Policy: To avoid a one night’s room and tax charge, reservations must be cancelled at least fourteen (14) 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.

 

 

Related Resources

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
Please note that only general sessions are open to the press. 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 202.962.7384.

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.