Overview

It is with great disappointment that SIFMA must advise you that our 2020 C&L Annual Seminar has been canceled.

For 52 years, this event has been the preeminent meeting place for compliance and legal professionals in the financial services industry. Unfortunately, however, circumstances beyond our control have made it impossible to proceed with the event this year. This is primarily due to restrictions on non-essential travel implemented by many of SIFMA’s member firms and other organizations that impact the ability of our speakers, sponsors and other attendees to participate in the event, as well as public health and travel advisories, difficulties with domestic air travel, and other recent events related to the spread of the novel coronavirus COVID-19.

SIFMA’s Business Continuity Planning (BCP) team continues to closely monitor COVID-19 and its impact on our industry and the markets. In the event of a significant incident that affects or has the potential to affect the operations of the financial system, SIFMA helps to coordinate the financial industry’s BCP efforts. For more information and resources for those at your firm entrusted with this critical role, please visit www.sifma.org/bcp.

Your registration fee is 100% refundable and will be automatically refunded within 30 days. You do not need to contact SIFMA for this refund. If you booked your hotel under SIFMA’s room block, your reservation will be automatically canceled and your deposit refunded. If you would like to reinstate your reservation, please contact Kathy Lebron-Diaz. Please contact outside hotels and travel carriers to cancel other travel arrangements as needed.

We appreciate your understanding and support, and we look forward to seeing you at the 2021 C&L Annual Seminar, which will take place on March 14-17 at the Marriott Marquis in San Diego. You can view all upcoming events at www.sifma.org/events. Until then!

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

Overview

It is with great disappointment that SIFMA must advise you that our 2020 C&L Annual Seminar has been canceled.

For 52 years, this event has been the preeminent meeting place for compliance and legal professionals in the financial services industry. Unfortunately, however, circumstances beyond our control have made it impossible to proceed with the event this year. This is primarily due to restrictions on non-essential travel implemented by many of SIFMA’s member firms and other organizations that impact the ability of our speakers, sponsors and other attendees to participate in the event, as well as public health and travel advisories, difficulties with domestic air travel, and other recent events related to the spread of the novel coronavirus COVID-19.

SIFMA’s Business Continuity Planning (BCP) team continues to closely monitor COVID-19 and its impact on our industry and the markets. In the event of a significant incident that affects or has the potential to affect the operations of the financial system, SIFMA helps to coordinate the financial industry’s BCP efforts. For more information and resources for those at your firm entrusted with this critical role, please visit www.sifma.org/bcp.

Your registration fee is 100% refundable and will be automatically refunded within 30 days. You do not need to contact SIFMA for this refund. If you booked your hotel under SIFMA’s room block, your reservation will be automatically canceled and your deposit refunded. If you would like to reinstate your reservation, please contact Kathy Lebron-Diaz. Please contact outside hotels and travel carriers to cancel other travel arrangements as needed.

We appreciate your understanding and support, and we look forward to seeing you at the 2021 C&L Annual Seminar, which will take place on March 14-17 at the Marriott Marquis in San Diego. You can view all upcoming events at www.sifma.org/events. Until then!

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. Sponsored by Hogan Lovells

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.

Sponsored by Hogan Lovells

6:30am – 7:30am

Benefiting Soles4Souls Sponsored by: Orrick, Herrington & Sutcliffe LLP

Benefiting Soles4Souls

Sponsored by:

Orrick, Herrington & Sutcliffe LLP

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 – 7:45am

FINRA CAT experts will be on hand at the SIFMA C&L Annual Seminar to provide the latest information and answer questions.

FINRA CAT experts will be on hand at the SIFMA C&L Annual Seminar to provide the latest information and answer questions.

Participants

Shelly Bohlin, Marie Griffin, Katie Madison

Speakers

Shelly Bohlin

Chief Operating Officer, FINRA CAT LLC

FINRA

Shelly Bohlin’s Biography

Marie Griffin

Director, FINRA Technology

FINRA

Marie Griffin’s Biography

Katie Madison

Senior Director, Technology

FINRA CAT

Katie Madison’s Biography

7:00am – 8:00am

8:00am – 8:10am

Participants

Elaine Mandelbaum, Scott C. Kursman

Speakers

Elaine Mandelbaum

General Counsel

Interactive Brokers

SIFMA C&L Society President

SIFMA

Elaine Mandelbaum’s Biography

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

8:10am – 8:35am

Participants

Commissioner Elad L. Roisman, Joseph E. Sweeney

Speakers

Joseph E. Sweeney

President, Advice & Wealth Management, Products and Service Delivery

Ameriprise Financial, Inc.

Joseph E. Sweeney’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 (CFTC)

Chairman Heath P. Tarbert’s Biography

Joseph L. Seidel

Chief Operating Officer

SIFMA

Joseph L. Seidel’s Biography

9:05am – 10:00am

Regulatory priorities for each represented regulator Regulatory approaches to digital assets and cryptocurrencies Regulatory coordination and the Financial Stability Oversight Council Regulatory approaches to cybersecurity at regulated entities Regulating by…

  • Regulatory priorities for each represented regulator
  • Regulatory approaches to digital assets and cryptocurrencies
  • Regulatory coordination and the Financial Stability Oversight Council
  • Regulatory approaches to cybersecurity at regulated entities
  • Regulating by principles vs. rules

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

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 (CFTC)

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

FINRA Dispute Resolution Update Elder Issues in Arbitration - What to Expect this Year Potential Reg BI Claims on the Horizon The Coordinated Attack on Compensatory Damages

  • FINRA Dispute Resolution Update
  • Elder Issues in Arbitration – What to Expect this Year
  • Potential Reg BI Claims on the Horizon
  • The Coordinated Attack on Compensatory Damages

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

Managing Senior Counsel

Bank of the West

Linda Drucker’s Biography

Bentley Stansbury

Shareholder and Executive Committee Member

Keesal, Young & Logan

Bentley Stansbury’s Biography

Examination priorities tied to new regulatory requirements and current events (Reg BI, LIBOR, Brexit) Additional priority areas, such as financial technology, trading and broker-dealer risk management, RIA compliance programs, and…

  • Examination priorities tied to new regulatory requirements and current events (Reg BI, LIBOR, Brexit)
  • Additional priority areas, such as financial technology, trading and broker-dealer risk management, RIA compliance programs, and information security
  • What to expect from the changes to FINRA’s 2020 exam and risk monitoring program
  • Suggested best practices for successful exam management

Participants

Ryan Lester, Darya Geetter, Ryder Hill, Joan McKown, Thomas Nelli, John S. Polise

Moderator

Ryan Lester

Managing Director and Americas Head, Regulatory Practice Group

Goldman, Sachs & Co.

Ryan Lester’s Biography

Panelists

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

Joan McKown

Partner

Jones Day

Joan McKown’s Biography

Thomas Nelli

Senior Vice President and Regional Director

FINRA

Thomas Nelli’s Biography

John S. Polise

Associate Director, National Broker-Dealer Exchange Program (BDX), Office of Compliance Inspections and Examinations

U.S. Securities and Exchange Commission (SEC)

John S. Polise’s Biography

Managing Conflicts of Interest Banking Compliance Considerations under Reg BI Issues in Connection with Securities Offering – Direct Listing under the 1933 Act Interactions with Research Considerations for Dealing with…

  • Managing Conflicts of Interest
  • Banking Compliance Considerations under Reg BI
  • Issues in Connection with Securities Offering – Direct Listing under the 1933 Act
  • Interactions with Research
  • Considerations for Dealing with Cannabis Companies

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

Regulatory Guidance on Using Social Media and Potential Impact of the SEC’s Proposed Advertising Rule Innovative Design Techniques and Utilization of Disclosure in Digital Communications Challenges Presented by Mobile Devices…

  • Regulatory Guidance on Using Social Media and Potential Impact of the SEC’s Proposed Advertising Rule
  • Innovative Design Techniques and Utilization of Disclosure in Digital Communications
  • Challenges Presented by Mobile Devices and the Evolving Social Media Landscape
  • Supervision and Record Retention Challenges of Communication Apps and Websites
  • Recent Disciplinary Actions Involving Social Media and Electronic Communications

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

Casey Whalley

Principal - Field Supervision

Edward Jones

Casey Whalley’s Biography

Joint Development of Diverse Talent – The Next Step The Ethics Argument for Promoting Equality in the Profession (ABA Rule 8.5) Carving a Path Towards Senior Leadership in Legal and…

  • Joint Development of Diverse Talent – The Next Step
  • The Ethics Argument for Promoting Equality in the Profession (ABA Rule 8.5)
  • Carving a Path Towards Senior Leadership in Legal and Compliance

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, Chief of Staff

LPL Financial LLC

Peggy Ho’s Biography

Autumn Hunter

Associate General Counsel & Director

Bank of America Corporation

Autumn Hunter’s Biography

Evolving regulatory expectations and exam priorities from SEC/FINRA/etc Era of heightened risk related to geopolitical issues Recent NY Fed “pre-mortem analysis” warning of potential systemic impact from cyberattack on financial…

  • Evolving regulatory expectations and exam priorities from SEC/FINRA/etc
  • Era of heightened risk related to geopolitical issues
  • Recent NY Fed “pre-mortem analysis” warning of potential systemic impact from cyberattack on financial market participants
  • Best practices for insider threat programs
  • Third party risk management

Participants

Una Dean, Robert Cohen, Pablo Martinez

Moderator

Panelists

Pablo Martinez

Head of Cyber Operations

Fidelity Investments

Pablo Martinez’s Biography

Enforcement Trends:  Individual accountability, Disclosures, Coordination What counts as cooperation for corporations these days? Navigating through privilege, caselaw on internal investigations, and regulator expectations Back to the Future in Financial…

  • Enforcement Trends:  Individual accountability, Disclosures, Coordination
  • What counts as cooperation for corporations these days?
    • Navigating through privilege, caselaw on internal investigations, and regulator expectations
  • Back to the Future in Financial Fraud – what’s old and what’s new?
    • Accounting Fraud
    • Insider Trading
    • Spoofing
    • RICO
  • Developments in FCPA, AML, and Sanctions

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 & Head of Global Litigation

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

Planning for the future - Technology/Artificial Intelligence/Robotics/Data Current and Shifting Compliance Risks & Connectivity with Operational Risk How the Compliance Function is Changing Compliance Officers of the Future – Skills,…

  • Planning for the future – Technology/Artificial Intelligence/Robotics/Data
  • Current and Shifting Compliance Risks & Connectivity with Operational Risk
  • How the Compliance Function is Changing
  • Compliance Officers of the Future – Skills, acumen and diversity considerations
  • Regulators’ Expectations of Compliance and CCO Liability

Participants

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

Moderator

Eric Gallinek

Global Banking & Markets and International Compliance and Operational Risk Executive

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

Deutsche Bank AG

Pamela Root’s Biography

Encouraging internal reporting post-Digital Realty Best practices for developing policy and procedures and internal investigations Effective reporting channels and how to handle allegations How to avoid retaliation claims Defending a…

  • Encouraging internal reporting post-Digital Realty
  • Best practices for developing policy and procedures and internal investigations
  • Effective reporting channels and how to handle allegations
  • How to avoid retaliation claims
  • Defending a litigated claim and recent jury trial outcomes

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

Senior Vice President, 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

High Level Overview of Requirements Applicable to Security-Based Swaps Cross Border Issues Build-out for New Requirements Subtle Differences between SEC and CFTC requirements SEC SBS Update

  • High Level Overview of Requirements Applicable to Security-Based Swaps
  • Cross Border Issues
  • Build-out for New Requirements
  • Subtle Differences between SEC and CFTC requirements
  • SEC SBS Update

Participants

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

Moderator

Kyle Brandon

Managing Director, Head of Derivatives Policy

SIFMA

Kyle Brandon’s Biography

Panelists

Matthew Danton

Director

Barclays

Matthew Danton’s Biography

Felicia Rector

Managing Director, Securities Division

Goldman, Sachs & Co.

Felicia Rector’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

Best practices, strategies and tactics, from opening through closure Mediation, bi-lateral discussions and other dispute resolution tools Ethical issues in negotiation:  good faith, conflicts, confidentiality The impact of diversity (or…

  • Best practices, strategies and tactics, from opening through closure
  • Mediation, bi-lateral discussions and other dispute resolution tools
  • Ethical issues in negotiation:  good faith, conflicts, confidentiality
  • The impact of diversity (or lack thereof) on negotiations

Participants

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

Moderator

Joe Salama

Managing Director & Global Head of Litigation and Regulatory Enforcement

Deutsche Bank AG

Joe Salama’s Biography

Panelists

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

11:45am – 12:15pm

Sponsored by: Norton Rose Fulbright 

Sponsored by:

Norton Rose Fulbright 

12:15pm – 1:30pm

Antitrust Developments and Practice Pointers The Spread of the Boycott and Manipulation Theories Standing, Efficient Enforcer, Antitrust Injury, and Other Defenses Impact of Parallel and Cross-Border Proceedings False Claims Act:…

  • Antitrust Developments and Practice Pointers
    • The Spread of the Boycott and Manipulation Theories
    • Standing, Efficient Enforcer, Antitrust Injury, and Other Defenses
    • Impact of Parallel and Cross-Border Proceedings
  • False Claims Act: Handling Cases in the Financial Services Space
  • Defending Spoofing Claims
    • Practical and Policy Considerations
    • Regulatory Enforcement and the Impact on Civil Litigation

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

Rules, regs and regulatory expectations for risk assessments, monitoring and testing How risk assessments, monitoring, testing and other activities feed each other Who does the risk assessments, the monitoring and…

  • Rules, regs and regulatory expectations for risk assessments, monitoring and testing
  • How risk assessments, monitoring, testing and other activities feed each other
  • Who does the risk assessments, the monitoring and the testing and how do they coordinate? How Legal, Compliance, Risk, Audit, and Business Units work together
  • Technology developments
  • Recent enforcement actions

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

Charles Schwab

Matthew Schurter’s Biography

Joshua Stahl

Compliance Officer

Wells Fargo

Joshua Stahl’s Biography

Conduct Risk Definitions, Taxonomy and Framework Design Culture and Conduct Regulatory Landscape and Expectations Creating and Maintaining Ethical Culture Metrics, Data and Reporting of Culture and Conduct Legal and Privilege…

  • Conduct Risk Definitions, Taxonomy and Framework Design
  • Culture and Conduct Regulatory Landscape and Expectations
  • Creating and Maintaining Ethical Culture
  • Metrics, Data and Reporting of Culture and Conduct
  • Legal and Privilege Considerations

Participants

Sunita Koshy, Melissa Aoyagi, Michele Coffey, Jim McHale

Moderator

Sunita Koshy

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

Citigroup Inc.

Sunita Koshy’s Biography

Panelists

Melissa Aoyagi

Managing Director, Global Head of Conduct Risk

Morgan Stanley

Melissa Aoyagi’s Biography

Jim McHale

Executive Vice President & Head of Wealth & Investment Management Compliance

Wells Fargo

Jim McHale’s Biography

Customer Due Diligence Rule OFAC Update Cyber & AML Data, Technology and Financial Crimes Compliance Regulatory Focus: Priorities; Exam Findings; Enforcement Lessons

  • Customer Due Diligence Rule
  • OFAC Update
  • Cyber & AML
  • Data, Technology and Financial Crimes Compliance
  • Regulatory Focus: Priorities; Exam Findings; Enforcement Lessons

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

Managing Relationships with Government Entities During Internal Investigations: Handling Government Deconfliction Requests / Structuring Internal Investigations post-Connolly Privilege Waiver Issues and Cooperation Credit Challenges With Cross-Border Investigations Structuring Workplace Misconduct…

  • Managing Relationships with Government Entities During Internal Investigations: Handling Government Deconfliction Requests / Structuring Internal Investigations post-Connolly
  • Privilege Waiver Issues and Cooperation Credit
  • Challenges With Cross-Border Investigations
  • Structuring Workplace Misconduct Investigations in the Era of #MeToo – What’s Different?
  • Best Practices for Document Preservation and Collection

Participants

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

Moderator

Joshua E. Levine

Managing Director and Head of ICG Regulatory Enforcement

Citigroup Global Markets, Inc.

Joshua E. Levine’s Biography

Panelists

Patricia Canavan

Americas Head of Group Investigations

UBS AG

Patricia Canavan’s Biography

Lawrence Gerschwer

Partner, Litigation

Barnes & Thornburg LLP

Lawrence Gerschwer’s Biography

Alexander B. White

Assistant General Counsel, Vice President

Bank of America Corporation

Alexander B. White’s Biography

Trading Platforms and Venues—Alternative Trading Systems and Dark Pools Trading Controls and Governance—Roles and Responsibilities Use of Artificial Intelligence by the Front Office and Control Functions Market Structure Developments, including…

  • Trading Platforms and Venues—Alternative Trading Systems and Dark Pools
  • Trading Controls and Governance—Roles and Responsibilities
  • Use of Artificial Intelligence by the Front Office and Control Functions
  • Market Structure Developments, including the SIP Proposal
  • Focus Areas of Global Regulators

Participants

Gary Rosen, Paul Carlesimo, Theodore R. Lazo, Stephen Luparello, Maura Miller, Laura Pruitt

Moderator

Panelists

Paul Carlesimo

Managing Director

RBC Capital Markets, LLC

Paul Carlesimo’s Biography

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

Managing Director, Securities Compliance

Credit Suisse Securities (USA) LLC

Maura Miller’s Biography

Laura Pruitt

Partner

Jones Day

Laura Pruitt’s Biography

What’s top of mind for financial institution General Counsels? The Legal Department of tomorrow: Technology and automation Risk management expectations of regulators What does it all mean for outside counsel?…

  • What’s top of mind for financial institution General Counsels?
  • The Legal Department of tomorrow:
  • Technology and automation
  • Risk management expectations of regulators
  • What does it all mean for outside counsel?
  • How are General Counsels grappling with cybersecurity, privacy and Big Data issues?
  • ESG:  the role of the General Counsel in creating a “sustainable” firm
  • What is the role of the General Counsel when it comes to culture, including the handling of whistleblowers and compensation issues?

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

Stephen M. Cutler

Partner and Head of the Investigations Practice

Simpson Thacher & Bartlett LLP

Stephen M. Cutler’s Biography

Eric F. Grossman

Managing Director 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

Complying with new standard of care obligation Best Interest Recommendations Compliance and Supervisory implications Navigating the solely incidental BD exemption Recent Updates

  • Complying with new standard of care obligation
  • Best Interest Recommendations
  • Compliance and Supervisory implications
  • Navigating the solely incidental BD exemption
  • Recent Updates

Participants

Michelle Kelley, Kevin Carroll, Lourdes Gonzalez, Yoon-Young Lee, Dean Pinto, 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

Lourdes Gonzalez

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

U.S. Securities and Exchange Commission

Lourdes Gonzalez’s Biography

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Theresa Seys

Vice President and Chief Counsel

Ameriprise Financial Services, Inc.

Theresa Seys’s Biography

Regulatory Considerations When Evaluating a Move to a Cloud Cybersecurity and Business Continuity Issues Involving Cloud Solutions Conducting Due Diligence on Cloud Providers and Platforms Data Privacy and Cross Border…

  • Regulatory Considerations When Evaluating a Move to a Cloud
  • Cybersecurity and Business Continuity Issues Involving Cloud Solutions
  • Conducting Due Diligence on Cloud Providers and Platforms
  • Data Privacy and Cross Border Risks in the Cloud

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

Volcker 2.0 Final Prop Trading Rules – how is it better, and what are the continuing or new challenges? Implementing the Volcker 2.0 Final Prop Trading Rules – implementation pitfalls…

  • Volcker 2.0 Final Prop Trading Rules – how is it better, and what are the continuing or new challenges?
  • Implementing the Volcker 2.0 Final Prop Trading Rules – implementation pitfalls to watch
  • Volcker 2.0 Covered Funds Proposal – The Good, the Bad, and the Who Knows?
  • Volcker 2.0 Going Forward – Life under Volcker today, and what happens next

Participants

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

Moderator

Curtis Tao

Managing Director & Deputy General Counsel

Citigroup Global Markets, Inc.

Curtis Tao’s Biography

Panelists

Jahad Atieh

Executive Director & 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

Making the Most of Your Talent Budget Use of External Counsel and Consultants Keeping Pace with Compliance Technology and Analytics Handling Regulatory Examinations with Limited Resources Selling Resource Needs to…

  • Making the Most of Your Talent Budget
  • Use of External Counsel and Consultants
  • Keeping Pace with Compliance Technology and Analytics
  • Handling Regulatory Examinations with Limited Resources
  • Selling Resource Needs to Senior Management

Participants

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

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

Bill Wisdom

Director of Regulatory & Oversight Services, Chief Compliance Officer

Benjamin F. Edwards

Bill Wisdom’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, Elaine Mandelbaum

Speakers

Anne Robinson

Managing Director, General Counsel and Corporate Secretary

Vanguard

Anne Robinson’s Biography

Elaine Mandelbaum

General Counsel

Interactive Brokers

SIFMA C&L Society President

SIFMA

Elaine Mandelbaum’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. Refunds will not be made after March…

Sponsored by:

StarCompliance

Pre-Registration is required.

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

Refunds will not be made after March 1,2020.

1:30pm – 2:45pm

Sponsored by: Protiviti  We are in the midst of a digital revolution. Innovation investments continue to increase but compliance executives are now better able to distinguish hype from reality…

Sponsored by:
Protiviti 

We are in the midst of a digital revolution. Innovation investments continue to increase but compliance executives are now better able to distinguish hype from reality and focus these investments on areas that will provide the greatest returns. This session will discuss real-life examples of financial institutions that have successfully harnessed the potential of innovation to increase efficiencies and better align compliance efforts to business goals and objectives for growth.

 

*Sponsored Lunch & Learn sessions are only open to Seminar attendees, who are not affiliated with a vendor or a service provider.

Sponsored by: Proofpoint Join us for a short, TED-style talk on what low-tech approaches firms are employing to keep up with the ever growing demands of eCommunications review. Highlights…

Sponsored by:
Proofpoint

Join us for a short, TED-style talk on what low-tech approaches firms are employing to keep up with the ever growing demands of eCommunications review. Highlights include:

  • Using Risk Assessments to drastically reduce review queues
  • Framing risk scenarios and objectives to balance regulatory obligations against limited resources
  • Rethinking your monitoring program to keep up with the pace of change

 

*Sponsored Lunch & Learn sessions are only open to Seminar attendees, who are not affiliated with a vendor or a service provider.

Sponsored by: QuisLex Institutions around the world are preparing for the transition away from LIBOR. The high level plan sounds simple. Find and collect your affected contracts, review them, then update them to include…

Sponsored by:
QuisLex

Institutions around the world are preparing for the transition away from LIBOR. The high level plan sounds simple. Find and collect your affected contracts, review them, then update them to include a new reference rate or viable “fallback” language. But the sheer scale of these projects can mean millions in costs, so setting up an efficient review across asset classes is critical. The panel will walk through an example of an end-to-end solution to LIBOR contract repapering, weaving in best practices and proven results from panelists real world use cases. Topics covered will include: (i) the steps to take before kicking off a project to set yourself up for success, (ii) where you can incorporate leading legal technology and AI to automate tasks, (ii) how to leverage cost efficient resources to fill in the gaps and complete quality reviews, and (iii) the role an SME plays to resolve escalations and outliers.

 

*Sponsored Lunch & Learn sessions are only open to Seminar attendees, who are not affiliated with a vendor or a service provider.

Sponsored by: Sia Partners  LIBOR, the London Inter-bank Offered Rate, has been the benchmark interest rate referenced by a wide array of financial services products used by the markets…

Sponsored by:
Sia Partners 

LIBOR, the London Inter-bank Offered Rate, has been the benchmark interest rate referenced by a wide array of financial services products used by the markets globally since the 1970s.  LIBOR is being phased out by the end of 2021. The LIBOR transition affects almost all markets either directly or indirectly but also tens of millions of contracts worth more than $400+ Trillion (USD) that now need to be reviewed, updated, and “re-papered.” The technology systems that calculate interest and other fees based on LIBOR also need to be reviewed and transitioned as well.

The impending timetable of this highly urgent – and complicated – transition has created a need for new innovative approaches to solve for the LIBOR transition in advance of the 2021 deadline. Failure to transition away from LIBOR in time could result in potentially costly lawsuits – or bad press from regulatory actions.

We’ll set the stage for our exciting LIBOR Lunch + Learn presentation by sharing insights from the recent LIBOR transition benchmarking study conducted with more than 75 institutions, conducted jointly by the management consultancy Sia Partners and the law firm Cadwalader, Wickersham and Taft.  We’ll then dive into some examples – including a few technology demos on how LIBOR is being remediated and transitioned, with the aid of fellow industry LIBOR experts.

Join us for this highly topical and noteworthy discussion – and take away ideas on how your firm can potentially “take the labor out of LIBOR” with analytics, automation and AI.

*Sponsored Lunch & Learn sessions are only open to Seminar attendees, who are not affiliated with a vendor or a service provider.

5:00pm – 6:00pm

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

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

Sponsored by:
Allen & Overy

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 Inclusion, Recruitment and Workforce Compliance

FINRA

Audria Pendergrass Lee’s Biography

8:00am – 8:05am

Participants

Scott C. Kursman

Speaker

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

8:05am – 8:11am

Presentation of the Alfred J. Rauschman Award

8:11am – 8:15am

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

8:15am – 8:45am

Participants

Shelley S. O’Connor

8:45am – 10:00am

Latest issues and trends in enforcement among leaders from the SEC, FINRA, CFTC, and the Department of Justice Agency priorities Cooperation, investigation length, whistleblowing, and criminal liability for corporations New…

  • Latest issues and trends in enforcement among leaders from the SEC, FINRA, CFTC, and the Department of Justice
  • Agency priorities
  • Cooperation, investigation length, whistleblowing, and criminal liability for corporations
  • New areas of enforcement, including developments in the digital/crypto space and the forthcoming implementation of Regulation BI

Participants

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

Moderator

Eric F. Grossman

Managing Director 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

The Changing Securities Litigation Landscape : Event-Driven Litigation, Code of Conduct Breaches, etc. (CBS, Signet and Others) State Court and Evolving State Law Landscape -- Life After Cyan, SLUSA and…

  • The Changing Securities Litigation Landscape : Event-Driven Litigation, Code of Conduct Breaches, etc. (CBS, Signet and Others)
  • State Court and Evolving State Law Landscape — Life After Cyan, SLUSA and Delaware Fiduciary Law Developments (Section 220 Demands, Del. Sup. Ct. Sciabacucchi decision, etc.)
  • Extraterritoriality Issues Continue—Toshiba, Madoff, Morrison and Collective Proceedings outside the U.S.
  • Impact of Past Supreme Court Decisions (Lorenzo, Omnicare, Halliburton) and Cases Pending Before the Court (IBM v. Jander, Liu v. SEC)
  • Update on Cartel/Collusion Litigations: Class Certification (FX and Implications for Financial Products Antitrust Litigation, Price Maintenance Theory in Securities Cases)

Participants

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

Where science meets art: lessons from behavioral economics and cognitive science to inform advocacy strategies Elder Issues at Play in Arbitration Challenges to Arbitrators: Motions to Recuse, Remove and Vacate…

  • Where science meets art: lessons from behavioral economics and cognitive science to inform advocacy strategies
  • Elder Issues at Play in Arbitration
  • Challenges to Arbitrators: Motions to Recuse, Remove and Vacate
  • Practical Tips on Handling Parallel Proceedings in more than one forum

Participants

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

Moderator

James Crowe

Principal, Senior Associate General Counsel

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

James Crowe’s Biography

Panelists

Kenneth Crowley

Executive Director

UBS AG

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

What is this market and what’s attractive about it What’s new in regulation and law Assessing Direct and Indirect Exposure Cannabis impact to Retail Investing, Banking, Trading & Research Reporting…

  • What is this market and what’s attractive about it
  • What’s new in regulation and law
  • Assessing Direct and Indirect Exposure
  • Cannabis impact to Retail Investing, Banking, Trading & Research
  • Reporting and Reputational Risks to Consider

Participants

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

Moderator

Jeremy Warren

Head of CIB Global Financial Crimes Compliance

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 & Co. Inc.

Douglas Siegel’s Biography

Enterprise Compliance & Compliance Risk Stature & Effective Challenge Compliance: Technology, Trends & Expectations Compliance Role in Managing Conduct Risk

  • Enterprise Compliance & Compliance Risk
  • Stature & Effective Challenge
  • Compliance: Technology, Trends & Expectations
  • Compliance Role in Managing Conduct Risk

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

Managing Director - Compliance

Citigroup Global Markets, Inc.

Gregory Johnson’s Biography

Jane Morril

Chief Operating Officer and Head of Enterprise Compliance, Global Compliance Department

Morgan Stanley

Jane Morril’s Biography

Nancy Swift

Deputy Chief Compliance Officer

Wells Fargo & Company

Nancy Swift’s Biography

LIBOR Transition Electronic Trading Trends Handling Client Trade Information Recent Spoofing Prosecutions Regulators focus Best Execution – SEC & FIRNA priorities

  • LIBOR Transition
  • Electronic Trading Trends
  • Handling Client Trade Information
  • Recent Spoofing Prosecutions
  • Regulators focus Best Execution – SEC & FIRNA priorities

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 LLC

Corwin Wyatt’s Biography

Establishing Information Barriers—When and Where Elements of Effective Information Barriers When is Sharing Client Information Internally OK—and When Is It Not? Strategies for Identifying Improper Information Sharing What to Do…

  • Establishing Information Barriers—When and Where
  • Elements of Effective Information Barriers
  • When is Sharing Client Information Internally OK—and When Is It Not?
  • Strategies for Identifying Improper Information Sharing
  • What to Do When You Find a Breach

Participants

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

Moderator

Patrick Cox

Executive Vice President & 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

Adam Steinbauer

Vice President, Americas Legal

Barclays

Adam Steinbauer’s Biography

Best practices in responding to subpoenas and in conducting internal reviews Cooperation and preservation of attorney-client privilege and work-product protection Considerations and challenges in representing company and employees Parallel investigations…

  • Best practices in responding to subpoenas and in conducting internal reviews
  • Cooperation and preservation of attorney-client privilege and work-product protection
  • Considerations and challenges in representing company and employees
  • Parallel investigations and interagency coordination
  • Effective wells submissions and related advocacy

Participants

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

Moderator

Andrew Stemmer

Head of Litigation & Regulatory Enforcement - Americas

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

Victoria Earls

Chief Counsel - Investigations & Enforcement

Interactive Brokers

Victoria Earls’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

Harnessing Artificial Intelligence and Machine Learning for Surveillance Leveraging Natural Language Processing Using Data to Connect the Dots Across Your Firm Navigating Potential Pitfalls: New Tech Implementation, Recruiting Challenges and Communication…

  • Harnessing Artificial Intelligence and Machine Learning for Surveillance
  • Leveraging Natural Language Processing
  • Using Data to Connect the Dots Across Your Firm
  • Navigating Potential Pitfalls: New Tech Implementation, Recruiting Challenges and Communication with Technologists
  • Regulators Approach to Technology & Big Data: What Do They Expect from Us?

Participants

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

Moderator

Jill Ostergaard

Partner and Chief Compliance Officer

Exos Securities LLC

Panelists

Brad Ahrens

Vice President of the Compliance Surveillance Technology and Analytics Group

Charles Schwab & Co., Inc.

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

Extraordinary cooperation, including RN 19-13 and recent cases. The current focus on restitution to investors, including scope and length of look-back. Products and services, including FINRA’s mutual fund fee waiver…

  • Extraordinary cooperation, including RN 19-13 and recent cases.
  • The current focus on restitution to investors, including scope and length of look-back.
  • Products and services, including FINRA’s mutual fund fee waiver initiative,  FINRA’s 529  share class initiative, FINRA’s UGMA/UTMA share class cases, the SEC share class Initiative and FINRA/SEC UIT cases.
  • Coming attractions: considerations for avoiding disciplinary action under Reg BI/state fiduciary rules/the potential new DOL rule.
  • Lessons from the field: best practices in handling regulatory investigations.

Participants

Mark Keene, Michael Freedman, Julie Glynn, Ben A. Indek, Christopher Kelly, Andrew Sidman

Moderator

Mark Keene

Managing Director & Associate General Counsel

Bank of America Corporation

Mark Keene’s Biography

Panelists

Michael Freedman

Senior Vice President, Associate General Counsel

LPL Financial LLC

Michael Freedman’s Biography

Julie Glynn

General Counsel U.S. Wealth Management

J.P. Morgan Securities LLC

Associate General Counsel

J.P. Morgan Securities LLC

Julie Glynn’s Biography

Christopher Kelly

Senior Vice President of Sales Practice Enforcement

FINRA

Christopher Kelly’s Biography

Recent Developments:  Market Access, Rule 606, ETFs, Consolidated Audit Trail FINRA Perspectives (Areas of Focus in Recent Exams) Rule 14e-4 – Prohibition on Short Partial Tenders MiFID 2 Unbundling Update

  • Recent Developments:  Market Access, Rule 606, ETFs, Consolidated Audit Trail
  • FINRA Perspectives (Areas of Focus in Recent Exams)
  • Rule 14e-4 – Prohibition on Short Partial Tenders
  • MiFID 2 Unbundling Update

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 & Transparency Services

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, Head of Equities Compliance

Jefferies LLC

David Nagy’s Biography

Evolving Regulatory, Legal, and Commercial Landscape Post MIFID II Capital Markets (e.g., SPAC, Direct Listings, Investor Education) Content Delivery Data Usage Research as a Data Provider Research as a Consumer…

  • Evolving Regulatory, Legal, and Commercial Landscape
    • Post MIFID II
    • Capital Markets (e.g., SPAC, Direct Listings, Investor Education)
    • Content Delivery
  • Data Usage
    • Research as a Data Provider
    • Research as a Consumer of Data
  • Conduct and Conflict Risk Challenges in Research

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

Impact of 2020 Election Cycle on Bank Regulatory Agenda Regulatory Update – Current Initiatives Across the Banking Agencies Supervision Update – Guidance on Guidance, CCAR, FBOs, and Alternative Reference Rates…

  • Impact of 2020 Election Cycle on Bank Regulatory Agenda
  • Regulatory Update – Current Initiatives Across the Banking Agencies
  • Supervision Update – Guidance on Guidance, CCAR, FBOs, and Alternative Reference Rates
  • Coming Attractions – ESG, Operational Resilience, FinTech/Blockchain, and Cyber Issues

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 Chase & Co.

Jillian Eng’s Biography

Mark Metz

Executive Vice President and Deputy General Counsel

Wells Fargo

Mark Metz’s Biography

Phillip Wertz

Associate General Counsel

Bank of America Corporation

Phillip Wertz’s Biography

Recent Privilege and Work Product Issues when Dealing with Regulators/Law Enforcement Best Practices for Conducting Internal Investigations and Safeguarding Privilege Privilege and Work Product Issues when Communicating with Public Relations…

  • Recent Privilege and Work Product Issues when Dealing with Regulators/Law Enforcement
  • Best Practices for Conducting Internal Investigations and Safeguarding Privilege
  • Privilege and Work Product Issues when Communicating with Public Relations Firms, Outside Auditors, Boards and Affiliates
  • Privilege Issues Unique To In-house Counsel and Their Communications

Participants

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

Moderator

Janet Broeckel

Managing Director, Associate General Counsel

Goldman, Sachs & Co.

Janet Broeckel’s Biography

Panelists

Tim Magee

Americas Head of Investigations & Enforcement

Barclays

Tim Magee’s Biography

Susan Steinthal

EVP & Deputy General Counsel

Citizens Bank

Susan Steinthal’s Biography

Operations - Operational Resilience Governance Business Continuity Planning Data Risk Data Access Entitlement Governance Management Reporting Vendor Management Third and Fourth Party Risk Concentration Risk Conduct Risk Insider threat Monitoring…

  • Operations – Operational Resilience
    • Governance
    • Business Continuity Planning
  • Data Risk
  • Data Access
  • Entitlement Governance
  • Management Reporting
  • Vendor Management
    • Third and Fourth Party Risk
    • Concentration Risk
  • Conduct Risk
  • Insider threat
  • Monitoring of Employee Activities
  • Employee Disclosures
  • Conduct Incidents

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

Managing Director

Morgan Stanley

Rose-Anne Richter’s Biography

Patrick Whyte

Vice President, Compliance Risk Management

Charles Schwab & Co., Inc.

Patrick Whyte’s Biography

An Insider’s View of the Supreme Court The Impact of Justice Kennedy’s Retirement and Justice Kavanaugh’s Elevation This Term’s Biggest Cases Decisions that Will Affect the Financial Services Industry Looking…

  • An Insider’s View of the Supreme Court
  • The Impact of Justice Kennedy’s Retirement and Justice Kavanaugh’s Elevation
  • This Term’s Biggest Cases
  • Decisions that Will Affect the Financial Services Industry
  • Looking Out to the Future – Next Term and Beyond

Participants

Jonathan Eisenberg, Timothy S. Bishop, Kelsi Corkran, Masha Hansford, Charlotte Taylor

Cognitive Decline in Investors: What is it? Where are we now? FINRA Rules 2165 & 4512 Implementation and Lessons Learned Tips for Effective Use of Trusted Contact and Temporary Holds…

  • Cognitive Decline in Investors:
    • What is it?
    • Where are we now?
  • FINRA Rules 2165 & 4512
    • Implementation and Lessons Learned
    • Tips for Effective Use of Trusted Contact and Temporary Holds
    • Issues from the Retrospective Review
  • Trends in Training & Education
  • Update on State Report-and-Hold Laws
    • Laws’ provisions
    • Enhancing Cooperation, Educating Advocates, and Next Steps
  • How Do Federal Laws Help
    • Are More needed?

Participants

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

Moderator

Ronald Long

Head of Elder Client Initiatives Center of Excellence

Wells Fargo & Company

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

Recent Developments:  Market Access, Rule 606, ETFs, Consolidated Audit Trail FINRA Perspectives (Areas of Focus in Recent Exams) Rule 14e-4 – Prohibition on Short Partial Tenders MiFID 2 Unbundling Update

  • Recent Developments:  Market Access, Rule 606, ETFs, Consolidated Audit Trail
  • FINRA Perspectives (Areas of Focus in Recent Exams)
  • Rule 14e-4 – Prohibition on Short Partial Tenders
  • MiFID 2 Unbundling Update

Participants

Angie Karna, Ashley Belich, Colin D. Lloyd, Michael Otten, Amy Reich, Joshua B. Sterling

Moderator

Panelists

Ashley Belich

Head of Global OTC Derivatives Advisory and U.S. Chief Privacy Officer

RBC Capital Markets

Ashley Belich’s Biography

Michael Otten

Vice President, OTC Derivatives

National Futures Association (NFA)

Michael Otten’s Biography

Amy Reich

Managing Director, Deputy General Counsel

Depository Trust & Clearing Corporation

Amy Reich’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

Examinations Enforcement Market Regulation Rulemaking

  • Examinations
  • Enforcement
  • Market Regulation
  • Rulemaking

Participants

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

Moderator

Michelle Bryan Oroschakoff

Managing Director, Chief Legal Officer

LPL Financial LLC

Michelle Bryan Oroschakoff’s Biography

Panelists

Robert L.D. Colby

Chief Legal Officer

FINRA

Robert L.D. Colby’s Biography

Thomas Gira

Executive Vice President, Market Regulation & Transparency Services

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

Can you litigate and maintain a constructive relationship with the government? Taking the government to trial – Exxon and its implications Managing media and publicity issues Considerations around changes in…

  • Can you litigate and maintain a constructive relationship with the government?
  • Taking the government to trial – Exxon and its implications
  • Managing media and publicity issues
  • Considerations around changes in administration

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

George S. Canellos

Partner

Milbank LLP

George S. Canellos’s Biography

Craig Carpenito

United States Attorney

U.S. Attorney's Office

Craig Carpenito’s Biography

Matthew Fitzwater

Managing Director, Global Head of Litigation, Investigations & Enforcement

Barclays

Matthew Fitzwater’s Biography

Vendor Risk Management Unbundling of Legal Services Shift to Regional Firms

  • Vendor Risk Management
  • Unbundling of Legal Services
  • Shift to Regional Firms

Participants

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

Moderator

Rose Battaglia

Managing Director and Global Chief Operating Officer

Deutsche Bank AG

Rose Battaglia’s Biography

Panelists

Jeff Isaacs

Global Head of Third Party Governance

Goldman, Sachs & Co.

Jeff Isaacs’s Biography

Joseph Polizzotto

Senior Vice President, Strategy & Client Services

QuisLex, Inc.

Joseph Polizzotto’s Biography

Lani Quarmby

Associate GC & Managing Director

Bank of America Corporation

Lani Quarmby’s Biography

New fiduciary rules—Reg BI and CFP Standards of Conduct—and their impact on recruiting; Effect of FIRA Regulatory Notice 19-10 on transitions; Analysis of recent cases and legal developments; Lessons learned…

  • New fiduciary rules—Reg BI and CFP Standards of Conduct—and their impact on recruiting;
  • Effect of FIRA Regulatory Notice 19-10 on transitions;
  • Analysis of recent cases and legal developments;
  • Lessons learned in the recruiting process.

Participants

Aaron Furniss, David Erb, Elizabeth Lindh, Richard Maloney, Jane Matoesian

Moderator

Aaron Furniss

Associate General Counsel, Private Client Group

Raymond James Financial Services, Inc.

Aaron Furniss’s Biography

Panelists

Richard Maloney

Executive Director and Counsel

UBS AG

Richard Maloney’s Biography

Jane Matoesian

Senior Vice President and Managing Counsel

Benjamin F. Edwards & Co.

Jane Matoesian’s Biography

The Prime Broker's oversight of trading activities of its hedge fund clients Reg SHO regulatory developments Custody of Digital Assets Impact of uncleared derivatives margin rules on Prime Brokerage products…

  • The Prime Broker’s oversight of trading activities of its hedge fund clients
  • Reg SHO regulatory developments
  • Custody of Digital Assets
  • Impact of uncleared derivatives margin rules on Prime Brokerage products and custody
  • Agency Lending and Triparty Repo updates     

Participants

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

Moderator

Michael Huber

Managing Director and Senior Counsel

Goldman, Sachs & Co.

Michael Huber’s Biography

Panelists

Steven Lofchie

Partner, Partner in the Financial Services 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 Merriweather

Senior Vice President & Assistant General Counsel

Northern Trust

Assistant General Counsel

Northern Trust

Tamela Merriweather’s Biography

Robert O’Connor

Managing Director

Morgan Stanley

Robert O’Connor’s Biography

Bill Wollman

Executive Vice President

FINRA

Bill Wollman’s Biography

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, Michael Sharp

Moderator

Stephen M. Cutler

Partner and Head of the Investigations Practice

Simpson Thacher & Bartlett LLP

Stephen M. Cutler’s Biography

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

Michael Sharp

Executive Vice President,Secretary and General Counsel

Jefferies

Michael Sharp’s Biography

1:30pm – 2:45pm

Sponsored by: Accenture

To remain competitive financial institutions have to closely monitor their efficiency ratios, looking at cost transformation using targeted strategies across all expense line growth. In…

Sponsored by:
Accenture

To remain competitive financial institutions have to closely monitor their efficiency ratios, looking at cost transformation using targeted strategies across all expense line growth. In 2020, senior compliance leaders are expected to contribute. After several year-to-year increases in investment, Accenture research indicates that compliance leaders are facing cost reductions, 72% are targeting reductions of more than 10% while confidence in managing new risks remains low, 1 with only ~11% considering their organizations fully capable of managing emerging risks such as Artificial Intelligence.2 Realizing this pivot in the cost base and retaining an effective and leading enterprise compliance posture requires bold strategies.

Join industry specialists from Accenture’s Regulatory & Compliance group for this Lunch & Learn to hear about, and discuss, how leading organizations are leveraging zero-based transformation to improve performance of the control environment while delivering against imperatives to drive down their cost base.

Key Topics & Take-Aways include:

  • Where Compliance programs are today in the transformation journey
  • Understand how senior compliance officers are balancing resources between established controls and mitigating new risks presented by the information age
  • How financial institutions are capturing opportunities to optimize investment in enterprise compliance risk management
  1. Accenture 2019 Compliance Study, March 2019
  2. Accenture 2019 Global Risk Study, November 2019

*Sponsored Lunch & Learn sessions are only open to Seminar attendees, who are not affiliated with a vendor or a service provider.

Participants

Iain Duke-Richardet

Speaker

Iain Duke-Richardet

Director - Accenture Financial Services, Finance and Risk

Accenture

Iain Duke-Richardet’s Biography

Sponsored by: MyComplianceOffice Addressing Conflict of Interests (COI) that can have an outsized impact on the overall efficacy of a firm’s compliance and ethics program should be a top…

Sponsored by:
MyComplianceOffice

Addressing Conflict of Interests (COI) that can have an outsized impact on the overall efficacy of a firm’s compliance and ethics program should be a top priority. The danger of poor COI mitigation is not only the immediate impact from individual COIs but also a broader risk to the entire program.

This informative Lunch & Learn session will address the changing landscape of conflict checks, identify conduct that may create new risks for the industry and outline what’s required to comprehensively manage COIs across the firm. Join MCO expert Keith Pyke and other industry experts to discuss today’s challenges and practical ways to better ensure conflict mitigation and conduct compliance.

Key Takeaways include:

  • How the conflict landscape has evolved
  • What regulators now expect of their member firms
  • How technology can be used to help identify and manage conflicts

*Sponsored Lunch & Learn sessions are only open to Seminar attendees, who are not affiliated with a vendor or a service provider.

Participants

Keith Pyke, Danielle Reya

Speakers

Danielle Reya

Managing Director

EY

Danielle Reya’s Biography

Sponsored by: IMS ExpertServices What brain scientists, experienced trial attorneys, and social scientists tell us about persuading jurors – and how you are allowed to do it! *Sponsored Lunch…

Sponsored by:
IMS ExpertServices

What brain scientists, experienced trial attorneys, and social scientists tell us about persuading jurors – and how you are allowed to do it!

*Sponsored Lunch & Learn sessions are only open to Seminar attendees, who are not affiliated with a vendor or a service provider.

Participants

Chris Ritter, Britta Stanton

Speakers

Chris Ritter

Partner and Senior Jury Consultant

The Focal Point LLC

Chris Ritter’s Biography

Britta Stanton

Trial Strategy Director

The Focal Point LLC

Britta Stanton’s Biography

Sponsored by: Deloitte The compliance date for Reg BI is June 30, 2020. During this session we’ll highlight how firms are currently addressing implementation challenges, including how they continue…

Sponsored by:
Deloitte

The compliance date for Reg BI is June 30, 2020. During this session we’ll highlight how firms are currently addressing implementation challenges, including how they continue to address some of the challenges identified in the recently completed Deloitte/SIFMA Reg BI implementation survey. We will discuss both how the marketplace is preparing for June 30, as well as actions they are looking to take after June 30 to build out their Day 2 Reg BI program.

 

*Sponsored Lunch & Learn sessions are only open to Seminar attendees, who are not affiliated with a vendor or a service provider.

6:00pm – 8:00pm

All are welcome to join the C&L Annual Lawn party, a resort casual affair. Co-Sponsored by: Allen & Overy LLP, Bressler, Amery & Ross, P.C. and Mayer…

All are welcome to join the C&L Annual Lawn party, a resort casual affair.
Co-Sponsored by: Allen & Overy LLP, Bressler, Amery & Ross, P.C. and Mayer Brown

 

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, Jamie Wall

Speakers

James Carville

Political Commentator

James Carville’s Biography

Mary Matalin

Political Commentator

Mary Matalin’s Biography

Jamie Wall

Executive Vice President, Advocacy

SIFMA

Jamie Wall’s Biography

9:50am – 10:10am

Networking Break

10:10am – 11:25am

What Expectations Surround Surveillance and How Are They New or Heightened? What Makes a Good Surveillance Program? Understanding the New Technologies of Artificial Intelligence, Machine Learning, and Other Data Analytics…

  • What Expectations Surround Surveillance and How Are They New or Heightened?
  • What Makes a Good Surveillance Program?
  • Understanding the New Technologies of Artificial Intelligence, Machine Learning, and Other Data Analytics Tools, and Their Evolving Deployment in the Financial Services Industry
  • The Regulatory Cost of Not Modernizing

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 & Co., Inc.

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 & Global Head of Surveillance

J.P. Morgan Chase & Co.

Aleksandra Radakovic’s Biography

Kelly Zigaitis

Head of Oversight and Controls, Compliance

Wells Fargo Advisors

Kelly Zigaitis’s Biography

2019 Enforcement and Regulatory Highlights & 2020 Horizon Scanning Challenging Concepts -  from operating models to extra-territorial application of rules Initiating and Maintaining a Cross-Border program  - What does your…

  • 2019 Enforcement and Regulatory Highlights & 2020 Horizon Scanning
  • Challenging Concepts –  from operating models to extra-territorial application of rules
  • Initiating and Maintaining a Cross-Border program  – What does your firm need?
  • Leveraging technology –  What’s the latest available?
  • Integrating ancillary elements – product rules, tax privacy, travel

Participants

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

Moderator

Alison Morpurgo

Managing Director, Global Head Cross-Border Legal

UBS Financial Services Inc.

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 and Americas Head of Global Banking and Markets Regulatory Compliance

HSBC

John Weitzer’s Biography

Identifying employee misconduct and regulatory reporting considerations Escalation & communication practices, privilege and reporting Consequences of discipline or termination- FINRA, SEC, State, DOJ, OCC and Fed requirements Collateral consequences- balancing…

  • Identifying employee misconduct and regulatory reporting considerations
  • Escalation & communication practices, privilege and reporting
  • Consequences of discipline or termination- FINRA, SEC, State, DOJ, OCC and Fed requirements
  • Collateral consequences- balancing litigation risk and regulatory requirements
  • Retrospective reviews- institutional response, remediations, establishing and documenting process improvements.

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 Brokerage Services LLP

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

SVP, Head of Regulatory Strategy & Special Investigations

LPL Financial LLC

Cece Baute Mavico’s Biography

Susan A. Schroeder

Partner and Vice-Chair, Securities Department

WilmerHale

Formerly Executive Vice President and Head of Enforcement

FINRA

Susan A. Schroeder’s Biography

Litigating Claims with Current Employees – Legal/Practical Overview Impact of the Me Too Movement:  Considerations for the Complainant and the Subject of the Complaint Conduct Risk Considerations - Connecting the…

  • Litigating Claims with Current Employees – Legal/Practical Overview
  • Impact of the Me Too Movement:  Considerations for the Complainant and the Subject of the Complaint
  • Conduct Risk Considerations – Connecting the Dots
  • Avoiding and Handling Retaliation Claims
  • Tricky Investigations/Discovery Issues:  Who Investigates; Does Privilege Apply/Do You Want Privilege to Apply; Plaintiff’s Use of Corporate Documents in Litigation; What If A Whistleblower Is Involved

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

Neal E. Sullivan, Christopher Gerold, Marin E. Gibson, Marni R. Gibson, Hasan Ibrahim

Moderator

Panelists

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Marin E. Gibson’s Biography

Marni R. Gibson

Deputy Commissioner and Securities Administrator Department of Financial Institutions

Commonwealth of KY

Marni R. Gibson’s Biography

Hasan Ibrahim

Chief Legal Officer and and Vice President, Prudential Advisors

Prudential Financial, Inc.

Hasan Ibrahim’s Biography

The Emerging Threat landscape Evolving Legal and Regulatory Standards and Enforcement Proactive Preparation and Risk Mitigation Incident Response Considerations

  • The Emerging Threat landscape
  • Evolving Legal and Regulatory Standards and Enforcement
  • Proactive Preparation and Risk Mitigation
  • Incident Response Considerations

Participants

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

Moderator

Patrick Chavez

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

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

Trading Enforcement:  Law enforcement continues to focus trading abuses, with an emphasis on spoofing, manipulation and collusive behavior.  Insider trading also remains a focus. The DOJ Fraud Section recently stood…

  • Trading Enforcement:  Law enforcement continues to focus trading abuses, with an emphasis on spoofing, manipulation and collusive behavior.  Insider trading also remains a focus. The DOJ Fraud Section recently stood up a separate unit, “Market Integrity and Major Frauds,” that covers criminal trading prosecutions, among other areas.  The DOJ has emphasized bringing cases premised on data patterns they deem indicative of criminal intent.
  • CFTC Enforcement Trends: Apart from spoofing enforcement, which the CFTC has continued to pursue alongside the DOJ, the CFTC has continued to focus on other forms of market manipulation.  The Commission’s relationship with the DOJ has continued to grow, possibly heightening the risk of criminal enforcement arising out of CFTC investigations.
  • SEC Priorities: In the financial institutions space, the SEC has focused on policing securities offerings, municipal bonds, and ADRs.  The industry will closely watch Liu SEC, in which the Supreme Court is reviewing the Commission’s authority to seek disgorgement.
  • Other Trends: Regulators including FINRA and the FCA have continued their emphasis on anti-money-laundering, perhaps signaling increased AML enforcement in the coming year.  The OCC’s recent actions against bank executives for supervisory failures reflect a continued focus on individual accountability across all regulators.

Participants

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

Evolving Role of Digital Services Platforms in Financial Institutions Regulatory Landscape and OCIE 2020 Examination Priorities SEC Regulation Best Interest and Digital Services Platforms Recent Enforcement Actions

  • Evolving Role of Digital Services Platforms in Financial Institutions
  • Regulatory Landscape and OCIE 2020 Examination Priorities
  • SEC Regulation Best Interest and Digital Services Platforms
  • Recent Enforcement Actions

Participants

Jennifer Grego, Evan Charkes, Edward P. O’Keefe, Steven Polansky, Ann Stanley, KC Waldron

Moderator

Jennifer Grego

Chief Compliance Officer Wealth Management

Morgan Stanley

Jennifer Grego’s Biography

Panelists

Evan Charkes

Managing Director and Associate General Counsel

Bank of America Corporation

Evan Charkes’s Biography

Steven Polansky

Senior Director, Member Supervision

FINRA

Steven Polansky’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

Managing M & A Financial Advisor Conflicts Managing an Effective Conflicts Management Program Managing Counterparty Conflicts and MNPI Managing Conflicts Between Financial Advisors and Their Clients

  • Managing M & A Financial Advisor Conflicts
  • Managing an Effective Conflicts Management Program
  • Managing Counterparty Conflicts and MNPI
  • Managing Conflicts Between Financial Advisors and Their Clients

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

Stephen J. Shine’s Biography

Mark Steffensen

Senior Executive Vice President & General Counsel

HSBC North America Holdings Inc.

Mark Steffensen’s Biography

Tanya Weisleder

Global Head, Conduct Risk

Credit Suisse

Tanya Weisleder’s Biography

Legal and Regulatory Changes Recent Enforcement and Trends Political Contributions Key risks and issues in an election year Anti-Bribery and Corruption Honest Services Fraud Effectively managing relationships with third-parties Gifts…

  • Legal and Regulatory Changes
  • Recent Enforcement and Trends
  • Political Contributions
    • Key risks and issues in an election year
  • Anti-Bribery and Corruption
    • Honest Services Fraud
    • Effectively managing relationships with third-parties
  • Gifts and Entertainment
    • Managing risk beyond the FINRA gift limit rule
  • Structure of Compliance Program
  • Monitoring and detecting the risk of “improper influence”

Participants

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

Moderator

Jeffrey Harwin

Americas Head of Anti-Financial Crime Compliance

Deutsche Bank

Jeffrey Harwin’s Biography

Panelists

Alyssa Albertelli

Chief Ethics Officer

Fidelity Investments

Alyssa Albertelli’s Biography

Market Overview Reg BI and Retail Fixed Income SEC FIMSAC Recommendations Hot Topics in Retail Fixed Income ESG in Retail Fixed Income SEC Proposed Exemptive Order on Municipal Advisors Implementation…

  • Market Overview
  • Reg BI and Retail Fixed Income
  • SEC FIMSAC Recommendations
  • Hot Topics in Retail Fixed Income
    • ESG in Retail Fixed Income
    • SEC Proposed Exemptive Order on Municipal Advisors
    • Implementation and Compliance with Markup Disclosure on Retail Customer Confirmations
  • Examination and Enforcement Issues Related to Retail Fixed Income

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 Markets

Jones Day

Margaret “Peggy” Blake’s Biography

David Cohen

Senior Legal Counsel

RBC Capital Markets

David Cohen’s Biography

Jeanine McHugh

General Counsel, Retail and Private Banking

HSBC Bank USA

Jeanine McHugh’s Biography

11:25am – 11:45am

Networking Break

11:45am – 1:00pm

Does the GDPR Apply to Your Firm? Key Requirements of the GDPR Other Operational Impacts of the GDPR GDPR Almost Two Years On: Regulatory and Enforcement Trends GDPR’s Progeny: the…

  • Does the GDPR Apply to Your Firm?
  • Key Requirements of the GDPR
  • Other Operational Impacts of the GDPR
  • GDPR Almost Two Years On: Regulatory and Enforcement Trends
  • GDPR’s Progeny: the California Consumer Privacy Act’s Essential Provisions
  • Emerging Data Privacy Laws in Other Countries

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

Business Risk & Control Manager

Wells Fargo Advisors

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 LLC

Gerald Spada’s Biography

Latest Developments on Fraud Types and Trends Detecting and Preventing the Latest Schemes Senior Exploitation Issues SAR Filing Internal Fraud Scams

  • Latest Developments on Fraud Types and Trends
  • Detecting and Preventing the Latest Schemes
    • Senior Exploitation Issues
    • SAR Filing
  • Internal Fraud
  • Scams

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

Disclosure Hot Topics: Brexit, LIBOR and Non-GAAP financial measures Legal topics: Cryptocurrency & Token offerings, Cannabis & CBD, and disclosure controls #MeToo Movement: Impact on investment banking transactions Capital Markets…

  • Disclosure Hot Topics: Brexit, LIBOR and Non-GAAP financial measures
  • Legal topics: Cryptocurrency & Token offerings, Cannabis & CBD, and disclosure controls
  • #MeToo Movement: Impact on investment banking transactions
  • Capital Markets Developments: direct listings, TTW, SEC enforcement actions
  • M&A Developments: MAC clause, foreign investment rules

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

Managing your disclosure obligation Satisfying the Conflicts of Interest Programs under Reg BI Litigation and enforcement risks under Reg BI Recent Updates

  • Managing your disclosure obligation
  • Satisfying the Conflicts of Interest Programs under Reg BI
  • Litigation and enforcement risks under Reg BI
  • Recent Updates

Participants

Jennifer Klass, Tammy Bawnik, Alicia Goldin, Donald Sutherland

Moderator

Panelists

Tammy Bawnik

Executive Director, Deputy General Counsel Legal

UBS Financial Services Inc.

Tammy Bawnik’s Biography

Alicia Goldin

Senior Special Counsel, Office of Chief Counsel, SEC Division of Trading and Markets

U.S. Securities and Exchange Commission (SEC)

Alicia Goldin’s Biography

Donald Sutherland

Senior Company Counsel

Wells Fargo & Company

Donald Sutherland’s Biography

Avoiding Ethical Traps in Internal Investigations Navigating Common Interests and Multi-Party Representations Ethics Issues in Self-Reporting and Corporate Cooperation in Government Investigations Hot Topics and Emerging Trends/Themes

  • Avoiding Ethical Traps in Internal Investigations
  • Navigating Common Interests and Multi-Party Representations
  • Ethics Issues in Self-Reporting and Corporate Cooperation in Government Investigations
  • Hot Topics and Emerging Trends/Themes

Participants

Charlene Jones, Wayne Carlin, Rosalynn H. Cormier, Cynthia Ferencz, Abigail Hemani, Richard Walker

Moderator

Charlene Jones

Director, Associate General Counsel

Citigroup Global Markets, Inc.

Charlene Jones’s Biography

Panelists

Rosalynn H. Cormier

Senior Counsel, Head of Financial Advisor Services (FAS)

Vanguard

Rosalynn H. Cormier’s Biography

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

Evolving standards of care Privacy issues Business model challenges Impact of technology Litigation and enforcement trends

  • Evolving standards of care
  • Privacy issues
  • Business model challenges
  • Impact of technology
  • Litigation and enforcement trends

Participants

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

Moderator

Anne Tennant

Managing Director & General Counsel of Wealth Management

Morgan Stanley

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 Firm Group Leader

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

Pay Equity and Diversity and Inclusion #MeToo Movement’s Impact on Financial Services Pre-hire/Registration – red flags and balancing Compliance concerns with the business in hiring decisions Departures – U-5 drafting…

  • Pay Equity and Diversity and Inclusion
  • #MeToo Movement’s Impact on Financial Services
  • Pre-hire/Registration – red flags and balancing Compliance concerns with the business in hiring decisions
  • Departures – U-5 drafting and defamation litigation
  • Challenges of technology – BYOD, social media and other issues

Participants

Louis Santangelo, Michael Delikat, Stacey Schmidt, Andrew Smith, Grace Speights

Moderator

Louis Santangelo

Senior Counsel, Employment Law

Societe Generale

Louis Santangelo’s Biography

Panelists

Stacey Schmidt

Vice President and Associate General Counsel, Employment Law Group

Fidelity Investments

Stacey Schmidt’s Biography

Andrew Smith

Managing Director, Head, Employment Law

Standard Chartered Bank

Andrew Smith’s Biography

1:00pm – 1:00pm

Seminar Adjourns

Venue

JW Marriott Grande Lakes, Orlando

4040 Central Florida Parkway
Orlando, FL 32837

Picture of venue

Hotel Accommodations

If you booked your hotel under SIFMA’s room block, your reservation will be automatically canceled and your deposit refunded. If you would like to reinstate your reservation, please contact Kathy Lebron-Diaz. Please contact outside hotels and travel carriers to cancel other travel arrangements as needed.

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

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

Courtyard Orlando South
4120 Taft Vineland Road
Orlando, FL 32837

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 and Registration
Contact Evan Grogan at 212.313.1134

Policy
Select sessions at this event are open to media. View the press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. 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