Overview

SIFMA C&L Annual Seminar

Date

March 24 - March 27, 2019

Location

Phoenix, AZ

Overview

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

With noted keynote speakers and 60+ in-depth breakout sessions, participants earn CLE credit while discussing the latest industry developments and collaborating on best practices.

Mark your calendar to join us again! The 2020 SIFMA C&L Annual Seminar will be held on March 15-18 at the Grande Lakes Orlando.

Watch Livestream Replays

Watch livestream replays from SIFMA’s 2019 C&L Annual Seminar to watch select sessions on the latest industry developments for compliance and legal professionals working in the financial services industry:

  • Enforcement Panel with SEC, SDNY, CFTC, FINRA
  • Regulatory Panel with FINRA, OCC, SEC

 

Keynote Speakers

 

Our 2019 Raushcman Award Winner

 

What to Expect at C&L Annual

 

Program Tracks

Mix and match from eight program tracks to build your personalized agenda.

TrackCode
BankingBKG
Capital MarketsCPM
ComplianceCPL
LitigationLIT
TechnologyTCH
EthicsETHICS
Diversity & InclusionD&I
Future LeadersFL

Program

3:00pm – 8:00pm

Registration Desk Hours

3:00pm – 6:00pm

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

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

5:15pm – 6:00pm

First Timers & Future Leaders Reception

6:30am – 7:30am

7:00am – 2:00pm

Registration Desk Hours
Specialty Coffee Station Sponsored by: Oliver Wyman Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, update your professional headshot and indulge in a specialty…

Specialty Coffee Station Sponsored by:

Oliver Wyman

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

Sponsored by: KPMG LLP  

Sponsored by:

KPMG LLP

 

7:30am – 8:00am

8:00am – 10:00am

General Session

8:00am – 8:10am

Participants

Elaine Mandelbaum, Kenneth L. Miller

Speakers

Elaine Mandelbaum

Managing Director and General Counsel of Litigation and Regulatory Investigations

Citi Institutional Clients Group

SIFMA C&L Society President

SIFMA

Elaine Mandelbaum’s Biography

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Chairperson

SIFMA Compliance & Legal Society

Kenneth L. Miller’s Biography

8:10am – 8:40am

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

8:40am – 10:00am

Participants

Eric F. Grossman, Stephanie Avakian, Robert Khuzami, James McDonald, Steven Peikin, Susan A. Schroeder

Moderator

Eric F. Grossman

Executive Vice President and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

Panelists

Stephanie Avakian

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Stephanie Avakian’s Biography

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

Susan A. Schroeder

Executive Vice President and Head of Enforcement

FINRA

Susan A. Schroeder’s Biography

10:00am – 10:30am

Sponsored by Deloitte 

Sponsored by Deloitte 

10:30am – 11:45am

Market Structure Initiatives and Updates on Reg ATS-N and Access Fee Pilot Best Execution:  FINRA Exam Priorities Letter; FINRA Paper on Affiliated ATSs Market Data: Update on SEC Ruling; Future…

  • Market Structure Initiatives and Updates on Reg ATS-N and Access Fee Pilot
  • Best Execution:  FINRA Exam Priorities Letter; FINRA Paper on Affiliated ATSs
  • Market Data: Update on SEC Ruling; Future of the SIPs
  • Consolidated Audit Trail:  Current State, Expectations and Issues

Participants

Theodore R. Lazo, James R. Burns, Jon Kroeper, Stephen Luparello, Maura Miller

Moderator

Theodore R. Lazo

Managing Director & Associate General Counsel, Equities

SIFMA

Theodore R. Lazo’s Biography

Panelists

Jon Kroeper

Senior Vice President

FINRA

Jon Kroeper’s Biography

Stephen Luparello

General Counsel

Citadel Securities LLC

Stephen Luparello’s Biography

Maura Miller

Director-Equities Compliance

Credit Suisse Securities (USA) LLC

Maura Miller’s Biography

Drafting and enforcement of arbitration provisions in employment agreements Modified arbitration procedures (e.g. baseball, high/low) Issues in electronic discovery Effective use of demonstratives Recent developments and what’s on the horizon

  • Drafting and enforcement of arbitration provisions in employment agreements
  • Modified arbitration procedures (e.g. baseball, high/low)
  • Issues in electronic discovery
  • Effective use of demonstratives
  • Recent developments and what’s on the horizon

Participants

Kenneth Crowley, Brian F. Amery, James Crowe, Tracy L. Gerber, Mai Klaassen, Donald R. Littlefield

Moderator

Kenneth Crowley

Executive Director

UBS Financial Services Inc.

Kenneth Crowley’s Biography

Panelists

Tracy L. Gerber

Co-Managing Shareholder

Greenberg Traurig, LLP

Tracy L. Gerber’s Biography

Mai Klaassen

VP, Associate General Counsel

Charles Schwab & Co., Inc

Mai Klaassen’s Biography

Disclosure Hot Topics:  Brexit, LIBOR, Cybersecurity Risks, ESG and Non-GAAP Financial Measures Disclosure Controls and Procedures in the Social Media Era Capital Markets Developments:  Direct Listings, Regulation A, Testing the…

  • Disclosure Hot Topics:  Brexit, LIBOR, Cybersecurity Risks, ESG and Non-GAAP Financial Measures
  • Disclosure Controls and Procedures in the Social Media Era
  • Capital Markets Developments:  Direct Listings, Regulation A, Testing the Waters, and Crowdfunding
  • Impact of Federal Government Shutdowns on Investment Banking Transactions
  • M&A Developments: MACs, Rep and Warranty Insurance, and Foreign Investment

Participants

Todd Baskin, Craig Barrack, Leslie Gardner, Michael Kaplan, Patrick Moran

Moderator

Todd Baskin

Managing Director & Associate General Counsel

Bank of America Merrill Lynch

Todd Baskin’s Biography

Panelists

Craig Barrack

Managing Director & General Counsel

Citigroup

Craig Barrack’s Biography

Leslie Gardner

Managing Director and Associate General Counsel

J.P. Morgan Chase & Co.

Leslie Gardner’s Biography

Patrick Moran

General Counsel

Goldman, Sachs & Co.

Patrick Moran’s Biography

Timing - When and How to Begin Effective Strategies and Tactics Mediation v. Bi-lateral Discussions Ethical Issues in Negotiation:  Good Faith, Conflicts, Confidentiality

  • Timing – When and How to Begin
  • Effective Strategies and Tactics
  • Mediation v. Bi-lateral Discussions
  • Ethical Issues in Negotiation:  Good Faith, Conflicts, Confidentiality

Participants

Joe Salama, Susanna M. Buergel, Charlene Jones, Scott Musoff, Shira A. Scheindlin

Moderator

Joe Salama

Associate General Counsel & Global Head of Litigation and Regulatory Enforcement

Deutsche Bank AG

Joe Salama’s Biography

Panelists

Charlene Jones

Director, Associate General Counsel

Citi

Charlene Jones’s Biography

Planning for the future - Technology/Artificial Intelligence/Robotics/Data Measuring Current and Shifting Compliance Risks How the Compliance Function is Changing Compliance Officers of the Future - Skills and Acumen Requirements Regulators’…

  • Planning for the future – Technology/Artificial Intelligence/Robotics/Data
  • Measuring Current and Shifting Compliance Risks
  • How the Compliance Function is Changing
  • Compliance Officers of the Future – Skills and Acumen Requirements
  • Regulators’ Expectations on Compliance and CCO Liability

Participants

Eric Gallinek, Herbert Janick, Eric Moss, Michael Roemer, Pamela Root

Moderator

Eric Gallinek

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

Bank of America Merrill Lynch

Eric Gallinek’s Biography

Panelists

Eric Moss

Senior Vice President, Deputy General Counsel & Chief Compliance Officer

BMO Financial

Eric Moss’s Biography

Michael Roemer

Chief Compliance Officer

Wells Fargo

Michael Roemer’s Biography

Pamela Root

Global Head of Compliance and Group Chief Compliance Officer

Deutsche Bank AG

Pamela Root’s Biography

Cognitive Decline: Where are we now? FINRA Rules 2165 & 4512 Trends in Training & Education New Federal Laws State Report-and-Hold Laws

  • Cognitive Decline: Where are we now?
  • FINRA Rules 2165 & 4512
  • Trends in Training & Education
  • New Federal Laws
  • State Report-and-Hold Laws

Participants

Ronald Long, Marin E. Gibson, Sarah Gill, Wendy Johnson, Holly Smith

Moderator

Ronald Long

Director of Elder Client

Wells Fargo Advisors

Ronald Long’s Biography

Panelists

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Marin E. Gibson’s Biography

Sarah Gill

Director of State Relations, Office of Government Affairs

FINRA

Sarah Gill’s Biography

Wendy Johnson

Vice President, Dispute Resolution & Senior and Vulnerable Adult Investor Protection

U.S. Bancorp

Wendy Johnson’s Biography

Data Analytics as a Core Compliance Competency How Regulators and Firms are using Data Analytics Regulatory Expectations for Your Data Analytics Program Overcoming Challenges and Managing the Risks of Using…

  • Data Analytics as a Core Compliance Competency
  • How Regulators and Firms are using Data Analytics
  • Regulatory Expectations for Your Data Analytics Program
  • Overcoming Challenges and Managing the Risks of Using Data Analytics
  • Emerging Trends and Latest Developments in Data Analytics Programs

Participants

Kerry Gendron, Stuart Breslow, Joseph P. Facciponti, Joseph Klocke, Tom Nelli

Moderator

Kerry Gendron

Managing Director, Head of Compliance Oversight

Morgan Stanley

Kerry Gendron’s Biography

Panelists

Stuart Breslow

Managing Director Technology and Policy

Google Cloud

Stuart Breslow’s Biography

Tom Nelli

Senior Vice President and Regional Director

FINRA

Tom Nelli’s Biography

Event Driven Litigation and New Trends in Securities Class Actions and Derivative Litigations. Life after Cyan and SLUSA Preclusion; has the Landscape Changed and what are the Options New Challenges…

  • Event Driven Litigation and New Trends in Securities Class Actions and Derivative Litigations.
  • Life after Cyan and SLUSA Preclusion; has the Landscape Changed and what are the Options
  • New Challenges to Extraterritoriality of the Securities Laws: Stoyas v. Toshiba
  • Scheme Liability after Janus: Lorenzo v. SEC
  • New Challenges in Exchange Act Claims—how far will Emulex go—and Leveraged Loans

Participants

Mary Reisert, Adam Hakki, Brad Karp, Jay Kasner, Meredith Kotler, Patrick Shilling

Moderator

Mary Reisert

Managing Director, Legal Department

Citigroup Global Markets, Inc.

Mary Reisert’s Biography

Panelists

Adam Hakki

Partner, Litigation

Shearman & Sterling LLP

Adam Hakki’s Biography

Patrick Shilling

Managing Director, Head of Americas Litigation

UBS

Patrick Shilling’s Biography

Ethical Issues – Upjohn Warnings, Conflicts and Representation Issues/Indemnification, and Privilege Best Practices for Document Preservation and Collection Managing Parallel Regulatory Inquiries Challenges from Increasing Employee Use of Third Party…

  • Ethical Issues – Upjohn Warnings, Conflicts and Representation Issues/Indemnification, and Privilege
  • Best Practices for Document Preservation and Collection
  • Managing Parallel Regulatory Inquiries
  • Challenges from Increasing Employee Use of Third Party Applications on Personal Devices
  • Handling Workplace Misconduct Allegations in the Era of #MeToo

Participants

Joshua E. Levine, Martine Beamon, Colleen Conry, Steven D’Alessandro, Hugh Patton, Julie M. Riewe

Moderator

Joshua E. Levine

Managing Director and General Counsel – ICG Regulatory Enforcement

Citigroup

Joshua E. Levine’s Biography

Panelists

Steven D’Alessandro

Managing Director

J.P. Morgan Chase & Co.

Steven D’Alessandro’s Biography

Hugh Patton

Associate General Counsel and Senior Vice President

Bank of America

Hugh Patton’s Biography

Election Impacts on Prudential Policy and Regulation and an Update on Administration Staffing Legislation, “Tailoring” the New Buzz Word in Prudential Regulation Guidance on Guidance By Prudential Agencies Prudential Regulations…

  • Election Impacts on Prudential Policy and Regulation and an Update on Administration Staffing
  • Legislation, “Tailoring” the New Buzz Word in Prudential Regulation
  • Guidance on Guidance By Prudential Agencies
  • Prudential Regulations Impacting Capital Markets

Participants

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

Moderator

Carter McDowell

Managing Director and Associate General Counsel

SIFMA

Carter McDowell’s Biography

Panelists

Kathryn McCulloch

Managing Director & Associate General Counsel

J.P. Morgan Chase & Co.

Kathryn McCulloch’s Biography

Phillip Wertz

Associate General Counsel

Bank of America

Phillip Wertz’s Biography

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

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

Participants

Greg Ruppert, Elizabeth “Paige” Baumann, Joseph P. Borg, Barry R. Goldsmith, Modesto Moya, John O’Neill

Moderator

Greg Ruppert

Senior Vice President – Financial Crimes Risk Management

Charles Schwab & Co., Inc.

Greg Ruppert’s Biography

Panelists

Elizabeth “Paige” Baumann

Senior Vice President, Chief Anti-Money Laundering Officer

Fidelity Investments

Elizabeth “Paige” Baumann’s Biography

Modesto Moya

Senior Vice President

Wells Fargo Advisors

Modesto Moya’s Biography

John O’Neill

Chief Compliance Officer

LPL Financial LLC

John O’Neill’s Biography

11:45am – 12:15pm

12:15pm – 1:30pm

Cybersecurity, GDPR, Big Data and Privacy Topical Board Issues, including Executive Compensation Diversity & Inclusion and Pay Equity Enforcement Actions and Whistleblower Issues The Ever-changing Regulatory Landscape

  • Cybersecurity, GDPR, Big Data and Privacy
  • Topical Board Issues, including Executive Compensation
  • Diversity & Inclusion and Pay Equity
  • Enforcement Actions and Whistleblower Issues
  • The Ever-changing Regulatory Landscape

Participants

Christopher Lewis, Stephen M. Cutler, David G. Leitch, Adam Meshel, Michelle Bryan Oroschakoff, Michael Sharp

Moderator

Panelists

David G. Leitch

General Counsel

Bank of America

David G. Leitch’s Biography

Adam Meshel

Managing Director & Global General Counsel

Citi Institutional Clients Group

Adam Meshel’s Biography

Michelle Bryan Oroschakoff

Chief Legal Officer

LPL Financial LLC

Michelle Bryan Oroschakoff’s Biography

Michael Sharp

Executive Vice President,Secretary and General Counsel

Jefferies

Michael Sharp’s Biography

SEC enforcement focus - securities and initial token offerings, registration issues, insider trading CFTC enforcement priorities and trends, including manipulation, spoofing and the status of cooperation programs DOJ activity in…

  • SEC enforcement focus – securities and initial token offerings, registration issues, insider trading
  • CFTC enforcement priorities and trends, including manipulation, spoofing and the status of cooperation programs
  • DOJ activity in trading and markets matters: spoofing, antitrust, FX and other benchmarks
  • FINRA: scrutiny of AML programs, low price securities and and other issues

Participants

James Meadows, Antonia M. Apps, Anirudh Bansal, Christian T. Kemnitz, David Meister, Barry W. Rashkover

Leveraging Technology & External Legal Advice for Cross-Border Private Client and Institutional Businesses Global Booking Model Governance Cross Border Data Privacy and Related Issues Globalization of Regulations and Extraterritorial Reach…

  • Leveraging Technology & External Legal Advice for Cross-Border Private Client and Institutional Businesses
  • Global Booking Model Governance
  • Cross Border Data Privacy and Related Issues
  • Globalization of Regulations and Extraterritorial Reach of Regulators

Participants

Amy Reich, Alessandro Cocco, Linda Fuerst, Alison Morpurgo, Charlotte Stalin, John Weitzer

Moderator

Amy Reich

General Counsel, APAC Asia Pacific Region

Citibank, N.A.

Amy Reich’s Biography

Panelists

Alessandro Cocco

Managing Director

J.P. Morgan Chase & Co.

Alessandro Cocco’s Biography

Alison Morpurgo

Managing Director, Global Head Cross-Border Legal

UBS Global Wealth Management

Alison Morpurgo’s Biography

John Weitzer

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

HSBC

John Weitzer’s Biography

Evolving standards of care Trends in Enforcement and Litigation, and Self-reporting initiatives Regulatory Technology Investment Advisory Account Issues

  • Evolving standards of care
  • Trends in Enforcement and Litigation, and Self-reporting initiatives
  • Regulatory Technology
  • Investment Advisory Account Issues

Participants

Cece Baute Mavico, Joe Fleming, Jack McGuire, Scott M. Murray, Barbara A. Stettner, Anne Tennant

Moderator

Cece Baute Mavico

Senior Vice President & Associate Counsel

LPL Financial LLC

Cece Baute Mavico’s Biography

Panelists

Joe Fleming

Chief Compliance Officer

Ameriprise Financial, Inc.

Joe Fleming’s Biography

Jack McGuire

Managing Director/Deputy General Counsel, Director Of Litigation

Oppenheimer

Jack McGuire’s Biography

Scott M. Murray

Senior Vice President, Director, Regulatory Compliance

Wells Fargo Advisors

Scott M. Murray’s Biography

Barbara A. Stettner

Managing Partner

Allen & Overy LLP

Barbara A. Stettner’s Biography

Anne Tennant

Managing Director & General Counsel

Morgan Stanley Wealth Management

Anne Tennant’s Biography

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

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

Participants

Darya Geetter, Stephen Cohen, Michael Delikat, Andrea DeMar, Colleen P. Mahoney, Dan Rosenbaum

Moderator

Darya Geetter

Senior Legal Advisor, Executive Vice President, Deputy General Counsel

LPL Financial

Darya Geetter’s Biography

Panelists

Andrea DeMar

Managing Director and the Head of Wealth Management

Deutsche Bank

Andrea DeMar’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

Dan Rosenbaum

Associate General Counsel

UBS Financial Services

Dan Rosenbaum’s Biography

Legal and Regulatory Changes Enforcement Environment Conflicts Compliance Program Monitoring

  • Legal and Regulatory Changes
  • Enforcement Environment
  • Conflicts
  • Compliance Program
  • Monitoring

Participants

Jeffrey Harwin, Sharyn Handelsman, Ki Hong, Jeffrey M. King, Andreanna Truelove

Moderator

Jeffrey Harwin

Managing Director, Co - Head of Financial Crime

Barclays Capital Inc.

Jeffrey Harwin’s Biography

Panelists

Sharyn Handelsman

Managing Director, Head of Compliance and Operational Risk Control

UBS Financial Services Inc.

Sharyn Handelsman’s Biography

Jeffrey M. King

Associate General Counsel & Managing Director

Bank of America Merrill Lynch

Jeffrey M. King’s Biography

Andreanna Truelove

Senior Legal Counsel

Fidelity Investments

Andreanna Truelove’s Biography

What it is, what it would require, and the challenges it presents Potential changes, timing and implementation period for the final rule Other developments on Fiduciary Standards from Nevada, other…

  • What it is, what it would require, and the challenges it presents
  • Potential changes, timing and implementation period for the final rule
  • Other developments on Fiduciary Standards from Nevada, other States, and the CFP Board
  • Practical implications for firms in complying with varying Best Interest and Fiduciary Standards

Participants

Michelle Kelley, Kevin Carroll, David Forman, Stephanie Nicolas, Carlos Pelayo

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

David Forman

Senior Vice President & Deputy General Counsel

Fidelity Investments

Chief Legal Officer

Fidelity Brokerage Services

David Forman’s Biography

Stephanie Nicolas

Partner

WilmerHale

Stephanie Nicolas’s Biography

Carlos Pelayo

Wealth & Investment Management, Legal Executive

Bank of America Merrill Lynch

Carlos Pelayo’s Biography

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

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

Participants

Cynthia B. Adams, Evan Barr, Wayne Carlin, David Knight, Michael Stone, Brent H. Taylor

Moderator

Cynthia B. Adams

Managing Director, Litigation, Regulatory and Employment Legal

Jefferies LLC

Cynthia B. Adams’s Biography

Panelists

David Knight

Executive Vice President & General Counsel

Stephens, Inc.

Seminar Co-Chairperson

David Knight’s Biography

Michael Stone

Senior Fellow & Director of Compliance

Cardozo & Fordham Law Schools

Michael Stone’s Biography

Brent H. Taylor

Managing Director & General Counsel

UBS Financial Services Inc.

Brent H. Taylor’s Biography

How Do We Know our data is accurate and complete? Overlapping requests from different regulators When advocacy and candor collide—what is Compliance’s role? What kind of regulatory relationship do you…

  • How Do We Know our data is accurate and complete?
  • Overlapping requests from different regulators
  • When advocacy and candor collide—what is Compliance’s role?
  • What kind of regulatory relationship do you want and how do you get there?
  • A Regulator’s Perspective:
    • Regulatory Priorities
    • Cause vs. Cycle Exams

Participants

Suzanne Elovic, Robert G. Brunton, Daniel Kahl, Ryan Lester, Joan McKown

Moderator

Suzanne Elovic

Managing Director

UBS AG

Suzanne Elovic’s Biography

Panelists

Robert G. Brunton

Associate General Counsel

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

Robert G. Brunton’s Biography

Daniel Kahl

Chief Counsel, Office of Compliance Inspections and Examinations (OCIE).

U.S. Securities and Exchange Commission

Daniel Kahl’s Biography

Ryan Lester

Vice President & Americas Head of Regulatory Practice Group

Goldman, Sachs & Co.

Ryan Lester’s Biography

Corporate Buy-Backs and SEC Rule 10b-5-1 Plans Market Access: Developments, Lessons Learned and Best Practices Rule 606 & Payment for Order Flow Practices – Updates and Developments Rule 14e-4 –…

  • Corporate Buy-Backs and SEC Rule 10b-5-1 Plans
  • Market Access: Developments, Lessons Learned and Best Practices
  • Rule 606 & Payment for Order Flow Practices – Updates and Developments
  • Rule 14e-4 – Prohibition on Short Partial Tenders
  • FINRA Perspectives & SEC’s ETF Rule Proposal

Participants

C. Annette Kelton, Matthew Danton, Jon Kroeper, Andre Owens, Phil Rothman

Moderator

C. Annette Kelton

Associate General Counsel & Head of Equities

Goldman, Sachs & Co.

C. Annette Kelton’s Biography

Panelists

Matthew Danton

Director

Barclays

Matthew Danton’s Biography

Jon Kroeper

Senior Vice President

FINRA

Jon Kroeper’s Biography

Andre Owens

Partner, Securities

WilmerHale

Andre Owens’s Biography

Phil Rothman

Senior Vice President

Fidelity Investments

Phil Rothman’s Biography

Vendor Management -- Outlining the Basics of a Compliance Program Third- and Fourth-Party Risk Management When Outsourcing means "In-sourcing"-- Offshoring and Interaffiliate Arrangements Considerations When Outsourcing Data Storage Special Challenges…

  • Vendor Management — Outlining the Basics of a Compliance Program
  • Third- and Fourth-Party Risk Management
  • When Outsourcing means “In-sourcing”– Offshoring and Interaffiliate Arrangements
  • Considerations When Outsourcing Data Storage
  • Special Challenges When Legal or Compliance Outsource

Participants

Melissa MacGregor, Nicole Alexander, Edward Appert, Yoon-Young Lee, Matthew Moore, Bill Wollman

Moderator

Melissa MacGregor

Managing Director and Associate General Counsel

SIFMA

Melissa MacGregor’s Biography

Panelists

Nicole Alexander

Associate General Counsel

Edward D. Jones & Co, L.P.

Nicole Alexander’s Biography

Edward Appert

Risk and Financial Advisory Managing Director, Enterprise Risk Services

Deloitte & Touche LLP

Edward Appert’s Biography

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Matthew Moore

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

Deutsche Bank Securities

Matthew Moore’s Biography

Bill Wollman

Executive Vice President, Member Supervision

FINRA

Bill Wollman’s Biography

1:30pm – 6:30pm

Sponsored by: Jones Day Pre-Registration is required. Please contact [email protected]  

Sponsored by:

Jones Day

Pre-Registration is required.

Please contact [email protected]

 

1:30pm – 2:30pm

Sponsored by Sidley Austin LLP  In a newly added luncheon discussion, hear from industry leaders on the importance of diversity and inclusion in the compliance and legal fields. (Space…

Sponsored by Sidley Austin LLP 

In a newly added luncheon discussion, hear from industry leaders on the importance of diversity and inclusion in the compliance and legal fields.

(Space is Limited)

 

 

 

 

Participants

Kenneth L. Miller, Eric F. Grossman, Christopher Lewis, Valecia McDowell, Michelle Bryan Oroschakoff, Macey Russell

Moderator

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Chairperson

SIFMA Compliance & Legal Society

Kenneth L. Miller’s Biography

Panelists

Eric F. Grossman

Executive Vice President and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

Michelle Bryan Oroschakoff

Chief Legal Officer

LPL Financial LLC

Michelle Bryan Oroschakoff’s Biography

Sponsored By Cadwalader, Wickersham & Taft: In an ever-changing regulatory landscape, compliance and legal professionals need sophisticated tools to help them keep current and advise their clients. The Cadwalader…

Sponsored By

Cadwalader, Wickersham & Taft:

In an ever-changing regulatory landscape, compliance and legal professionals need sophisticated tools to help them keep current and advise their clients. The Cadwalader Cabinet is a lawyer-curated repository of U.S. law and regulatory materials applicable to the financial services industry – the go-to online resource for legal and enforcement developments, professional analysis, and compliance and contractual work tools in a single platform. Subscribers turn to the Cabinet for the latest regulatory developments, in context; in-depth and interactive guidance; and tools for cross-training, skills development, and regulatory change management. Join Jodi Avergun, Chair of Cadwalader’s White Collar Defense and Investigations Practice, noted AML practitioner, and former DEA Chief of Staff, and Steven Lofchie, Cadwalader partner and founder of the Cabinet, for an introduction to our platform through the lens of one of the most rapidly evolving areas within the financial services industry: cannabis and cannabis-adjacent banking and investment.

 

**Sponsored Lunch & Learn sessions are only open to Seminar attendees who are not in direct competition of the sponsoring firm**

Participants

Jodi L. Avergun, Steven Lofchie

Speakers

Steven Lofchie

Partner, Head of the Financial Regulatory Group

Cadwalader, Wickersham & Taft LLP

Steven Lofchie’s Biography

What will supervision and surveillance look like in the next 5 – 10 years? This session explores the major drivers and critical success factors for leveraging new technology and data…

What will supervision and surveillance look like in the next 5 – 10 years? This session explores the major drivers and critical success factors for leveraging new technology and data sources throughout your firm to produce an effective program that is integrated by design with the 2nd line oversight function.

 

**Sponsored Lunch & Learn sessions are only open to Seminar attendees who are not in direct competition of the sponsoring firm.**

Participants

Richard Higgins, Joshua Uhl

Speakers

Richard Higgins

Senior Manager

Deloitte

Richard Higgins’s Biography

Joshua Uhl

Senior Manager

Deloitte

Joshua Uhl’s Biography

Sponsored by: QuisLex, Inc.   Companies across industries are trying to comply with a myriad of new regulations and requirements around the globe, particularly in the data privacy and…

Sponsored by:

QuisLex, Inc.

 

Companies across industries are trying to comply with a myriad of new regulations and requirements around the globe, particularly in the data privacy and security space. Heavily regulated industries like financial services are facing even tougher challenges, dealing with the impact of Brexit and MiFID, new recordkeeping requirements for QFCs, and a host of other looming changes. Given the sheer scale and complexity, a traditional approach to managing these legal and quasi-legal projects is often time and cost prohibitive. There are no established programs or guidelines for companies to easily execute against or turnkey solutions to solve these challenges. Instead processes are often built from scratch and involve a good amount of uncertainty. The panel will give insight into approaches taken by leading financial institutions to build and effectively manage their programs, focusing on themes like (i) the steps to take before kicking off a project to set yourself up for success, (ii) where technology can be effectively used to automate tasks, (iii) how to build the right cross functional teams to deploy on the right tasks, (iv) tips for gaining buy-in to your plan across the organization and (v) how things like prioritization and consolidation of outreaches can drive savings and ensure timelines are met.

 

**Sponsored Lunch & Learn sessions are only open to Seminar attendees who are not in direct competition of the sponsoring firm**

Participants

Chase D’Agostino, Mark Harris, Angie Karna, Joseph Polizzotto

Speakers

Chase D’Agostino

AVP of Corporate Solutions

QuisLex, Inc.

Chase D’Agostino’s Biography

Mark Harris

Global Head of Regulatory Compliance, Global Markets at HSBC.

QuisLex, Inc.

Mark Harris’s Biography

Angie Karna

Managing Director, Legal

Nomura Secuirties, Inc.

Angie Karna’s Biography

Joseph Polizzotto

Senior Vice President, Strategy & Client Services

QuisLex, Inc.

Joseph Polizzotto’s Biography

Sponsored by Smarsh.  The way that organizations communicate and collaborate has fundamentally changed. Today, companies are talking to customers on social media, collaborating internally on business chat applications, and…

Sponsored by Smarsh.  The way that organizations communicate and collaborate has fundamentally changed. Today, companies are talking to customers on social media, collaborating internally on business chat applications, and everyone is using their mobile device to conduct business. This means much more than just another source of ESI to worry about. It means understanding what was said in chat rooms, what content was shared on a white board, and what meaning is behind the use of emojis. This session will cover common pitfalls that firms are experiencing, and best practices to adapting eDiscovery and compliance processes and workflows to address this new reality.

 

**Sponsored Lunch & Learn sessions are only open to Seminar attendees who are not in direct competition of the sponsoring firm**

Participants

Marty Colburn, Robert Cruz, Brian Panicko, Marianna Shafir

Speakers

Marty Colburn

Managing Partner and Chief Technology Officer

Cloud Partners

Marty Colburn’s Biography

Robert Cruz

Sr. Director of Information Governance

Smarsh

Robert Cruz’s Biography

Brian Panicko

Vice President of Mobile Strategy

Smarsh

Brian Panicko’s Biography

Marianna Shafir

Corporate Counsel and Regulatory Advisor

Smarsh

Marianna Shafir’s Biography

1:30pm – 2:30pm

Networking Luncheon

7:00am – 2:00pm

Registration Desk Hours
Specialty Coffee Stations Sponsored by: Hogan Lovels US LLP and O'Melveny & Myers LLP Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors,…

Specialty Coffee Stations Sponsored by:

Hogan Lovels US LLP

and

O’Melveny & Myers LLP

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

7:00am – 8:00am

7:00am – 7:45am

Ms. Gibbs is Director, OMWI at the Securities and Exchange Commission.  With a special video message from SEC Chairman Jay Clayton. Sponsored by: WilmerHale

Ms. Gibbs is Director, OMWI at the Securities and Exchange Commission.  With a special video message from SEC Chairman Jay Clayton.

Sponsored by:

WilmerHale

Participants

Pamela Gibbs, Gleennia Napper

Speakers

Pamela Gibbs

Director, Office of Minority and Women Inclusion

U.S. Securities and Exchange Commission

Pamela Gibbs’s Biography

Gleennia Napper

Vice President, Corporate Finance Compliance

Deutsche Bank

Gleennia Napper’s Biography

7:00am – 2:00pm

Sponsored by: KPMG LLP

Sponsored by:

KPMG LLP

8:00am – 10:00am

General Session

8:00am – 8:05am

Welcome Remarks

8:05am – 8:15am

Presentation of the Alfred J. Rauschman Award

8:15am – 8:45am

SEC Chairman Jay Clayton will join via live Video Skype

SEC Chairman Jay Clayton will join via live Video Skype

Participants

Jay Clayton, Kenneth E. Bentsen, Jr.

Speakers

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

8:45am – 10:00am

Participants

Merri Jo Gillette, Robert Colby, Morris Morgan, Brett Redfearn, Richard Walker

Moderator

Merri Jo Gillette

Deputy General Counsel

Edward D. Jones & Co, L.P.

Merri Jo Gillette’s Biography

Panelists

Robert Colby

Chief Legal Officer

FINRA

Robert Colby’s Biography

Morris Morgan

Senior Deputy Comptroller and Chief Operating Officer

Office of the Comptroller of the Currency

Morris Morgan’s Biography

Brett Redfearn

Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Brett Redfearn’s Biography

10:00am – 10:30am

Networking Break

10:30am – 11:45am

Examinations Enforcement Market Regulation Rulemaking

  • Examinations
  • Enforcement
  • Market Regulation
  • Rulemaking

Participants

I. Scott Bieler, Robert Colby, Jessica Hopper, Jon Kroeper, Michael Rufino, Neal E. Sullivan, Bill Wollman

Moderator

I. Scott Bieler

Senior Vice President & Deputy General Counsel

Fidelity Investments

I. Scott Bieler’s Biography

Panelists

Robert Colby

Chief Legal Officer

FINRA

Robert Colby’s Biography

Jessica Hopper

Senior Vice President, Deputy Chief of Enforcement, Regional Enforcement

FINRA

Jessica Hopper’s Biography

Jon Kroeper

Senior Vice President

FINRA

Jon Kroeper’s Biography

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

Bill Wollman

Executive Vice President, Member Supervision

FINRA

Bill Wollman’s Biography

Litigating Claims with Current Employees – Legal Overview Avoiding Retaliation Claims Thorny Issues - Managing Litigants and Supervisors, Performance Issues Other Challenges – Media and Social Media

  • Litigating Claims with Current Employees – Legal Overview
  • Avoiding Retaliation Claims
  • Thorny Issues – Managing Litigants and Supervisors, Performance Issues
  • Other Challenges – Media and Social Media

Participants

Jo-Anne Kelly, Lisa Bertain, Carole Miller, Neil Rosolinsky, Eugene Scalia

Moderator

Jo-Anne Kelly

General Counsel, Human Resources

Citi

Jo-Anne Kelly’s Biography

Panelists

Lisa Bertain

Shareholder, Litigation

Keesal, Young & Logan, P.C.

Lisa Bertain’s Biography

Carole Miller

Co-Chair of Labor and Employment Practice

Bressler, Amery & Ross, P.C.

Carole Miller’s Biography

Neil Rosolinsky

Deputy General Counsel, Litigation & Employment

Citizens Financial Group, Inc.

Neil Rosolinsky’s Biography

Derivatives Regulation 2.0 Derivatives Regulation: Other Recent Developments and Implementation Challenges Recent Swap Dealer Enforcement Actions Regulator Updates and Priorities: Views from the NFA

  • Derivatives Regulation 2.0
  • Derivatives Regulation: Other Recent Developments and Implementation Challenges
  • Recent Swap Dealer Enforcement Actions
  • Regulator Updates and Priorities: Views from the NFA

Participants

Felicia Rector, Kyle Brandon, Dianne Bruning, Angie Karna, Annette Nazareth, Jamila Piracci

Moderator

Felicia Rector

Managing Director, Securities Division

Goldman, Sachs & Co.

Felicia Rector’s Biography

Panelists

Kyle Brandon

Managing Director, Director of Derivatives Policy

SIFMA

Kyle Brandon’s Biography

Dianne Bruning

Director Legal Department

Barclays

Dianne Bruning’s Biography

Angie Karna

Managing Director, Legal

Nomura Secuirties, Inc.

Angie Karna’s Biography

Annette Nazareth

Partner, Financial Institutions

Davis Polk & Wardwell LLP

Annette Nazareth’s Biography

Jamila Piracci

Vice President, OTC Derivatives

National Futures Association (NFA)

Jamila Piracci’s Biography

FINRA: Research Updates “Paying” for Research; MiFID II and Global Regulatory Implications Using Data for Research; Privacy, Contractual and Other Issues FAIR Act: Research on Investment Funds Recent Regulatory and…

  • FINRA: Research Updates
  • “Paying” for Research; MiFID II and Global Regulatory Implications
  • Using Data for Research; Privacy, Contractual and Other Issues
  • FAIR Act: Research on Investment Funds
  • Recent Regulatory and Market Developments

Participants

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

Moderator

Raymond Abbott

Managing Director & Associate General Counsel for Global Research

Bank of America Merrill Lynch

Raymond Abbott’s Biography

Panelists

Lauren Munfa

Executive Director

UBS Securitites Co., Ltd

Lauren Munfa’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

GDPR at (almost) one year-old: How solid is your program? GDPR hot topics and areas of focus, including regulatory activities Privacy developments around the world: When and how to integrate…

  • GDPR at (almost) one year-old: How solid is your program?
  • GDPR hot topics and areas of focus, including regulatory activities
  • Privacy developments around the world: When and how to integrate them into your program, large or small
  • 2020 and beyond: A privacy crystal ball

Participants

Zoe Strickland, Christine Frye, Gina E. Hyde, Amy Lovell, Christine E. Lyon

Moderator

Panelists

Christine Frye

Senior Vice President and Chief Privacy Officer

Bank of America

Christine Frye’s Biography

Gina E. Hyde

Chief Compliance Officer, Capital Markets

Stifel Financial Corp.

Gina E. Hyde’s Biography

Amy Lovell

Senior Company Counsel

Wells Fargo

Amy Lovell’s Biography

Wasn’t the Protocol Supposed to Die?  Protocol vs. Non-Protocol Transitions and the Future of the Protocol Privacy Policy and PII Pitfalls in the Recruiting Process Demise of the DOL Fiduciary…

  • Wasn’t the Protocol Supposed to Die?  Protocol vs. Non-Protocol Transitions and the Future of the Protocol
  • Privacy Policy and PII Pitfalls in the Recruiting Process
  • Demise of the DOL Fiduciary Rule and the Impact on Recruiting
  • Lessons Learned (Recruiting Litigation and Advisor Transitions)

Participants

Aaron Furniss, Brad Jacobs, Beverly Slaughter, Julie L. Taylor, Shepherd D. Tate

Moderator

Aaron Furniss

Vice President, Associate General Counsel

Raymond James Financial, Inc.

Aaron Furniss’s Biography

Panelists

Brad Jacobs

Senior Vice President - Associate General Counsel

LPL Financial LLC

Brad Jacobs’s Biography

Beverly Slaughter

Managing Counsel

Wells Fargo & Co.

Beverly Slaughter’s Biography

Best practices in responding to subpoenas and conducting internal reviews Cooperation and company counsel as state actor Issues related to multiple representations Parallel investigations and interagency coordination Effective Wells submissions

  • Best practices in responding to subpoenas and conducting internal reviews
  • Cooperation and company counsel as state actor
  • Issues related to multiple representations
  • Parallel investigations and interagency coordination
  • Effective Wells submissions

Participants

David Markowitz, David Anders, Carrie Bechtold, Marc P. Berger, Nicolas Bourtin

Moderator

David Markowitz

Managing Director

Goldman, Sachs & Co.

David Markowitz’s Biography

Panelists

Carrie Bechtold

Managing Counsel

Wells Fargo

Carrie Bechtold’s Biography

Marc P. Berger

Director of New York Regional Office

U.S. Securities and Exchange Commission

Marc P. Berger’s Biography

Enforcement Challenges/Headwinds in the Current Environment Evolving DOJ Guidance on cooperation and multiple regulators New Cases Revisiting Old Issues – Extraterritoriality, Secondary Liability and the Role of Company Counsel in…

  • Enforcement Challenges/Headwinds in the Current Environment
  • Evolving DOJ Guidance on cooperation and multiple regulators
  • New Cases Revisiting Old Issues – Extraterritoriality, Secondary Liability and the Role of Company Counsel in Government Investigations
  • New Fronts/Growing Threats – Crypto and Cyber, Spoofing, Environmental Disclosures and Other Emerging Issues
  • Current Developments in Money Laundering and Sanctions Matters

Participants

Scott Tucker, Andrew J. Ceresney, Joon H. Kim, Steven Peikin, Samuel Seymour, Theodore Wells, Jr.

Moderator

Scott Tucker

Managing Director, Global Head of Litigation

Morgan Stanley

Scott Tucker’s Biography

Panelists

Steven Peikin

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Steven Peikin’s Biography

Emergence of Hybrid Robos Leveraging digital platforms beyond advice Marketing / Positioning Your Robo Enforcement Matters and OCIE Priorities Surveillance Expectations and Model/Algorithm Testing

  • Emergence of Hybrid Robos
  • Leveraging digital platforms beyond advice
  • Marketing / Positioning Your Robo
  • Enforcement Matters and OCIE Priorities
  • Surveillance Expectations and Model/Algorithm Testing

Participants

Jennifer Grego, Alexander C. Gavis, David C. Heaton, Susan Steinthal, Stephen P. Wink

Moderator

Jennifer Grego

Managing Director, Deputy Head of Wealth Management Compliance

Morgan Stanley

Jennifer Grego’s Biography

Panelists

Alexander C. Gavis

Senior Vice President & Deputy General Counsel

Fidelity Investments

Alexander C. Gavis’s Biography

David C. Heaton

Associate General Counsel/Managing Director

Bank of America Corporation

David C. Heaton’s Biography

Susan Steinthal

EVP & Deputy General Counsel

Citizens Bank

Susan Steinthal’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, Luke Dembosky, Pablo Martinez, Michael S. Pieciak, Heather Egan Sussman

Moderator

Patrick Chavez

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

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

Patrick Chavez’s Biography

Panelists

Pablo Martinez

Fidelity Investments

Head of Cyber Operations

Pablo Martinez’s Biography

Managing M&A Financial Advisor Conflicts Designing  Effective Broker Dealer Conflict Management Program Managing Counterparty Conflicts and MNPI Investment Advisor Conflicts Management Securities Offerings and Conflict management

  • Managing M&A Financial Advisor Conflicts
  • Designing  Effective Broker Dealer Conflict Management Program
  • Managing Counterparty Conflicts and MNPI
  • Investment Advisor Conflicts Management
  • Securities Offerings and Conflict management

Participants

Scott Flood, Derek Alexander, Hannah Berkowitz, Tonia Bottoms, David Levine, Michael Wainer

Moderator

Scott Flood

Managing Director & Senior Deputy General Counsel, Markets & Banking

Citigroup Global Markets Inc.

Scott Flood’s Biography

Panelists

Derek Alexander

Deputy General Counsel

Stifel Financial Corp.

Derek Alexander’s Biography

Tonia Bottoms

Managing Director & Senior Managing Counsel

Pershing LLC, a BNY Mellon Company

Tonia Bottoms’s Biography

David Levine

Chief Legal Officer

Oz Management

David Levine’s Biography

11:45am – 12:15pm

Networking Break

12:15pm – 1:30pm

FINRA Dispute Resolution Update Elder Issues at Play in Arbitration: Common Claims and Defenses Effective Selection and Use of Experts The Evolution of and Current Trends in Damages Theories Using…

  • FINRA Dispute Resolution Update
  • Elder Issues at Play in Arbitration: Common Claims and Defenses
  • Effective Selection and Use of Experts
  • The Evolution of and Current Trends in Damages Theories
  • Using Technology to Improve Case Presentation

Participants

Patricia Cowart, Richard W. Berry, Richard J. Davis, Christine Kendrick, Shannon McDougald, Melissa Hegger Shea

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

Christine Kendrick

Executive Director, Wealth Mgmt Client Litigation

Morgan Stanley

Christine Kendrick’s Biography

Melissa Hegger Shea

Vice President and Associate General Counsel, Legal

Fidelity Investments

Melissa Hegger Shea’s Biography

An Insider’s View of the Supreme Court - Who’s the swing vote now? The Independence of the Judiciary How would this Court handle a constitutional crisis? Decisions that impact the…

  • An Insider’s View of the Supreme Court – Who’s the swing vote now?
  • The Independence of the Judiciary
  • How would this Court handle a constitutional crisis?
  • Decisions that impact the financial services industry
  • What is on the horizon for the current Term and beyond?

Participants

Mei Lin Kwan-Gett, Caitlin J. Halligan, Beth Heifetz, George W. Hicks, Jr., E. Joshua Rosenkranz, Kannon K. Shanmugam

Moderator

Mei Lin Kwan-Gett

Deputy General Counsel & Head of Global Litigation

Citigroup Inc.

Mei Lin Kwan-Gett’s Biography

Panelists

Beth Heifetz

Partner

Jones Day

Beth Heifetz’s Biography

Achieving competency in a new role and supporting the education of junior lawyers and compliance professionals Maintaining privilege when representing multiple clients and interacting with unrepresented individuals How to maintain…

  • Achieving competency in a new role and supporting the education of junior lawyers and compliance professionals
  • Maintaining privilege when representing multiple clients and interacting with unrepresented individuals
  • How to maintain cross-department confidentiality
  • Managing ethical obligations presented by license-based codes of conduct
  • Unique ethical issues facing regulators
  • Ethical concerns arising when transitioning externally to an in-house, regulator, or outside-counsel role.

Participants

Molly Deere, Colleen Diles, Brandon A. Gilchrist, Stacie Owens, Claire Rajan, Kiki Taylor

Moderator

Molly Deere

Vice President & Assistant General Counsel

Stephens Inc.

Molly Deere’s Biography

Panelists

Colleen Diles

Surveillance Director

FINRA

Colleen Diles’s Biography

Brandon A. Gilchrist

Assistant Vice President, Surveillance & Investigations

LPL Financial LLC

Brandon A. Gilchrist’s Biography

Stacie Owens

Associate General Counsel

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

Stacie Owens’s Biography

Claire Rajan

Senior Counsel

Allen & Overy

Claire Rajan’s Biography

Kiki Taylor

Vice President & Assistant General Counsel, Government Investigations and Regulatory Enforcement

J.P. Morgan Chase & Co.

Kiki Taylor’s Biography

How the Volcker 2.0 proposal came to be Proposed Volcker rule changes Significant tensions in the proposal (1.0 v 2.0)

  • How the Volcker 2.0 proposal came to be
  • Proposed Volcker rule changes
  • Significant tensions in the proposal (1.0 v 2.0)

Participants

Ryan Taylor, Jahad Atieh, Jai Massari, Curtis Tao, Robert Toomey

Moderator

Ryan Taylor

Managing Director, Head of Dodd-Frank, Volcker Compliance

RBC Capital Markets, LLC

Ryan Taylor’s Biography

Panelists

Jahad Atieh

Vice President & Assistant General Counsel

J.P. Morgan Chase & Co.

Jahad Atieh’s Biography

Curtis Tao

Associate General Counsel

Citigroup, Inc.

Curtis Tao’s Biography

Robert Toomey

Managing Director and Associate General Counsel, Rates

SIFMA

Robert Toomey’s Biography

Managing Conflicts of Interest Managing and Tracking Confidential Information Issues in Connection with Securities Offerings Cross-Border/Licensing Issues

  • Managing Conflicts of Interest
  • Managing and Tracking Confidential Information
  • Issues in Connection with Securities Offerings
  • Cross-Border/Licensing Issues

Participants

Anthony DeRose, John Crowe, Jodi Huckabee, Sunita Koshy, Andrew J. Pitts

Moderator

Anthony DeRose

Managing Director

Deutsche Bank

Anthony DeRose’s Biography

Panelists

John Crowe

Chief Compliance Officer

Evercore Group LLC

John Crowe’s Biography

Jodi Huckabee

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

Barclays

Jodi Huckabee’s Biography

Sunita Koshy

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

Citigroup Global Markets Inc.

Sunita Koshy’s Biography

Enterprise Compliance Risk Governance Frameworks – Best Practices Managing Conduct Risk alongside Compliance Risk Managing inconsistent regulatory standards across jurisdictions Compliance and the adoption of innovative technologies (including artificial intelligence)

  • Enterprise Compliance Risk Governance Frameworks – Best Practices
  • Managing Conduct Risk alongside Compliance Risk
  • Managing inconsistent regulatory standards across jurisdictions
  • Compliance and the adoption of innovative technologies (including artificial intelligence)

Participants

Nancy Swift, David DiBari, Gregory Johnson, Kenneth Marcuse, Vince Perrone

Moderator

Nancy Swift

Deputy Chief Compliance Officer, Institutional & Brokerage

Wells Fargo & Company

Nancy Swift’s Biography

Panelists

David DiBari

Managing Partner, Litigation & Dispute Resolution

Clifford Chance US LLP

David DiBari’s Biography

Gregory Johnson

Chief Compliance Officer, Institutional Clients Group

Citi

Gregory Johnson’s Biography

Kenneth Marcuse

EVP, U.S. Chief Compliance Officer & Deputy Global CCO

TD Bank Group

Kenneth Marcuse’s Biography

General risk assessment best practices, including effective formats and narratives Regulatory expectations and recent regulatory actions How to operationalize risk assessment results The role of conduct risk in risk assessments…

  • General risk assessment best practices, including effective formats and narratives
  • Regulatory expectations and recent regulatory actions
  • How to operationalize risk assessment results
  • The role of conduct risk in risk assessments
  • Interplay between first and second line risk assessments

Participants

Helene Jepson, James Cornwell, Mike Nicholson, John H. Walsh, Andrew Weinberg

Moderator

Helene Jepson

Senior Vice President, Enterprise Chief Compliance Officer

First Republic Bank

Helene Jepson’s Biography

Panelists

James Cornwell

Director - Compliance Risk Assessment

Societe Generale Corporate & Investment Banking

James Cornwell’s Biography

Mike Nicholson

Director of Internal Controls

Wells Fargo Advisors

Mike Nicholson’s Biography

Andrew Weinberg

Managing Director, GBAM Compliance Executive

Bank of America Corporation

Andrew Weinberg’s Biography

Ethical, Policy, and Business Considerations How to be an Effective and Inclusive Leader Today and Tomorrow Understanding the Interplay among Clients, the Judiciary and Regulators Recent Developments and Better Practices

  • Ethical, Policy, and Business Considerations
  • How to be an Effective and Inclusive Leader Today and Tomorrow
  • Understanding the Interplay among Clients, the Judiciary and Regulators
  • Recent Developments and Better Practices

Participants

Nate Saint Victor, Debo P. Adegbile, Pamela Everhart, Maja Hazell, Charis Jones, Michelle Rhee

Moderator

Nate Saint Victor

Executive Director, Legal & Compliance

Morgan Stanley

Nate Saint Victor’s Biography

Panelists

Debo P. Adegbile

Partner

WilmerHale

Debo P. Adegbile’s Biography

Pamela Everhart

SVP, Regional Public Affairs and Community Relations

Fidelity Investments

Pamela Everhart’s Biography

Maja Hazell

Global Head of Diversity & Inclusion

White & Case LLP

Maja Hazell’s Biography

Charis Jones

Senior Vice President, Deputy Chief Compliance Officer, Advisory Compliance

LPL Financial LLC

Charis Jones’s Biography

Michelle Rhee

Assistant General Counsel

Wells Fargo Advisors

Michelle Rhee’s Biography

Creation and Explosion of Digital Currencies Decentralized, Distributed Open Source vs. Peer to Peer Policing the Wild Frontier. How does Regulation keep up? Suitability and other concerns for Retail Investors…

  • Creation and Explosion of Digital Currencies
  • Decentralized, Distributed Open Source vs. Peer to Peer
  • Policing the Wild Frontier. How does Regulation keep up?
  • Suitability and other concerns for Retail Investors
  • Market Information and Valuation – Are there any Experts and is the Data Reliable

Participants

Bari Jane Wolfe, Elizabeth H. Baird, Jeff Horowitz, Michael H. Krimminger, Steven Longo

Moderator

Bari Jane Wolfe

Managing Director & Head of Regulatory Relations

Depository Trust & Clearing Corporation

Bari Jane Wolfe’s Biography

Panelists

Elizabeth H. Baird

Deputy Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Elizabeth H. Baird’s Biography

Jeff Horowitz

Chief Compliance Officer

Coinbase

Jeff Horowitz’s Biography

Steven Longo

Chief Compliance Officer

Harbor Platform, Inc

Steven Longo’s Biography

Regulatory and industry perspectives Cross Selling and the interplay of consumer and investor protection Regulatory expectations and best practices regarding culture, conduct, and sales practices Incentive compensation programs – scrutiny…

  • Regulatory and industry perspectives
  • Cross Selling and the interplay of consumer and investor protection
  • Regulatory expectations and best practices regarding culture, conduct, and sales practices
  • Incentive compensation programs – scrutiny and challenges

Participants

Julie Hobbs, Beth Dorfman, Thomas McQuade, Edward P. O’Keefe, Michael Rufino, Donald Sutherland

Moderator

Julie Hobbs

Managing Director and General Counsel of Morgan Stanley Private Bank, National Association

Morgan Stanley

Julie Hobbs’s Biography

Panelists

Beth Dorfman

Managing Director, Legal

Bank of America Merrill Lynch

Beth Dorfman’s Biography

Thomas McQuade

Director, Risk and Compliance

Protiviti

Thomas McQuade’s Biography

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

Donald Sutherland

Senior Vice President and Senior Company Counsel

Wells Fargo & Company

Donald Sutherland’s Biography

Perspectives from in-house, plaintiff, defense and government counsel Has Section 21F done what it was intended to do? How proposed changes to Section 21F can improve (or damage) the Whistleblower…

  • Perspectives from in-house, plaintiff, defense and government counsel
  • Has Section 21F done what it was intended to do?
  • How proposed changes to Section 21F can improve (or damage) the Whistleblower program –
  • Impact of Whistleblower programs on corporate culture
  • Digital Realty: Did litigators go too far?

Participants

Stacey Schmidt, James R. Carroll, Brigitte Duffy, Cameron Funkhouser, Sean McKessy, Lorin L. Reisner

Moderator

Stacey Schmidt

Vice President and Associate General Counsel, Employment Law Group

Fidelity Investments

Stacey Schmidt’s Biography

Panelists

Brigitte Duffy

Senior Vice President, Associate Counsel

LPL Financial LLC

Brigitte Duffy’s Biography

Cameron Funkhouser

Executive Vice President, Office of Fraud Detection and Market Intelligence

FINRA

Cameron Funkhouser’s Biography

1:30pm – 2:30pm

Pre-registration is required. Open to all! Sponsored by: Clifford Chance Participate in a one-on-one conversation at a luncheon session with Sally Q. Yates, Partner, King & Spalding LLP. All…

Pre-registration is required. Open to all!

Sponsored by:

Clifford Chance

Participate in a one-on-one conversation at a luncheon session with Sally Q. Yates, Partner, King & Spalding LLP. All are welcome to attend!

Participants

Sally Q. Yates, Elaine Mandelbaum

Speakers

Elaine Mandelbaum

Managing Director and General Counsel of Litigation and Regulatory Investigations

Citi Institutional Clients Group

SIFMA C&L Society President

SIFMA

Elaine Mandelbaum’s Biography

Sponsored by: Accenture LLP  

In the world of Risk and Compliance, Data is king.  Organizations are starting to recognize that embracing the digital revolution…

Sponsored by:

Accenture LLP

 

In the world of Risk and Compliance, Data is king.  Organizations are starting to recognize that embracing the digital revolution isn’t just a good idea, it’s a necessity.  Regulations such as BCBS 239 and CCAR were just the beginning as new risks around data ownership and privacy are challenging today’s global banking organizations to adapt and create a proactive compliance environment.  Advances in analytics,  A.I., Machine Learning, and Robotic Process Automation all look very cool but to enable these new capabilities quickly; setting up clean and centralized data will enhance the pace of innovation.  Join Industry experts from Accenture as they discuss and demonstrate how to take advantage of these capabilities through a more data driven approach.

**Sponsored Lunch & Learn sessions are only open to Seminar attendees who are not in direct competition of the sponsoring firm**

 

 

Participants

Steve Culp, Aron Elston, Brian Stefka

Speakers

Steve Culp

Senior Managing Director

Accenture

Steve Culp’s Biography

Aron Elston

National Leader for Reg & Compliance Analytics

Accenture

Aron Elston’s Biography

Brian Stefka

Regulatory & Compliance Reporting and Data Lead

Accenture

Brian Stefka’s Biography

Sponsored By Oliver Wyman Over the past decade, non-financial risks have become more complex to manage and financial institutions are beginning to rethink their approach to managing these risks…

Sponsored By Oliver Wyman

Over the past decade, non-financial risks have become more complex to manage and financial institutions are beginning to rethink their approach to managing these risks – moving from silos towards an integrated approach – to drive efficiency and effectiveness. Join us for lunch and a conversation on the changing role of Compliance and management of compliance risk along with broader non-financial risks.

 

**Sponsored Lunch & Learn sessions are only open to Seminar attendees who are not in direct competition of the sponsoring firm**

 

Participants

Elena Belov, Tammi Ling, Allen Meyer

Speakers

Elena Belov

Partner, Financial Services and Organizational Effectiveness

Oliver Wyman

Elena Belov’s Biography

Tammi Ling

Partner, Financial Services Practice, Americas

Oliver Wyman

Tammi Ling’s Biography

Allen Meyer

Partner, Finance & Risk, Public Policy and Corporate & Institutional Banking

Oliver Wyman

Allen Meyer’s Biography

Sponsored by StarCompliance    From personal trading, to gifts and entertainment spending, to outside business activities, employee conflicts of interest have the potential to put firms as well as…

Sponsored by StarCompliance 

 

From personal trading, to gifts and entertainment spending, to outside business activities, employee conflicts of interest have the potential to put firms as well as individual employees on the wrong side of regulators. At this Lunch And Learn, StarCompliance’s Mike Alger will give you best practices for managing these potential conflicts, focused around (1) leveraging technology to your best advantage and (2) creating a culture of compliance. Topics will include optimizing broker feeds, optimizing the certifications process, increasing employee participation, and ways to inspire ethical behavior. You’ll leave with copies of our certifications and software-adoption checklists, as well as lots of actionable advice. Don’t miss this chance to get your compliance program off to a fresh start for the new year!

**Sponsored Lunch & Learn sessions are only open to Seminar attendees who are not in direct competition of the sponsoring firm**

 

Participants

Michael Alger

Speaker

Michael Alger

Product Manager

StarCompliance

Michael Alger’s Biography

6:00pm – 8:00pm

10:00pm – 12:00am

7:30am – 11:30am

Registration Desk Hours
Exhibition Hall Hours

7:30am – 8:25am

Networking Breakfast

8:25am – 8:35am

Closing Remarks

8:35am – 9:35am

Participants

Madeleine K. Albright, Michelle Bryan Oroschakoff

Speakers

Madeleine K. Albright

Chair of Albright Stonebridge Group

Albright Capital Management LLC

Madeleine K. Albright’s Biography

Michelle Bryan Oroschakoff

Chief Legal Officer

LPL Financial LLC

Michelle Bryan Oroschakoff’s Biography

9:35am – 9:55am

Networking Break

9:55am – 11:10am

Social Media— Thinking beyond your Social Media Policy BYOD Programs & Internal Communications Apps – Security, Privacy and Controls Surveillance – Challenges, Trends and Possibilities Evolution of the 21st Century…

  • Social Media— Thinking beyond your Social Media Policy
  • BYOD Programs & Internal Communications Apps – Security, Privacy and Controls
  • Surveillance – Challenges, Trends and Possibilities
  • Evolution of the 21st Century Compliance Officer

Participants

Grace Ang, Rajeev Dave, Jim Giles, Mathias Kramer, Carmen Lawrence

Moderator

Grace Ang

Executive Director, IT Contracting & Shared Services Legal

UBS AG

Grace Ang’s Biography

Panelists

Rajeev Dave

Americas Head of Surveillance

Barclays

Rajeev Dave’s Biography

Mathias Kramer

Managing Director, Global Head of Compliance Information Controls

Morgan Stanley

Mathias Kramer’s Biography

Cybersecurity Cloud Implementation Third-party (Vendor) Risk and Resiliency Recordkeeping Supporting Machine Learning

  • Cybersecurity
  • Cloud Implementation
  • Third-party (Vendor) Risk and Resiliency
  • Recordkeeping
  • Supporting Machine Learning

Participants

Davie Baccei, Norman Ashkenas, John V. Ayanian, Brett Flansburg, Joseph Lodato

Moderator

Davie Baccei

Managing Director, Federation Compliance

Goldman, Sachs & Co.

Davie Baccei’s Biography

Panelists

Norman Ashkenas

Senior Vice President & Chief Compliance Officer

Fidelity Investments

Norman Ashkenas’s Biography

Brett Flansburg

Vice President and Chief Compliance Officer

Ameriprise Financial

Brett Flansburg’s Biography

Joseph Lodato

Global Head of Compliance Technology and Surveillance

Guggenheim Partners, LLC

Joseph Lodato’s Biography

Conduct Risk Data – Retail v. Institutional Challenges, Roadblocks, and Lessons Learned -   Systems, Tools and Silos Red Flags – Defining and Escalating Identifying and Communicating Data to Internal and…

  • Conduct Risk Data – Retail v. Institutional
  • Challenges, Roadblocks, and Lessons Learned –   Systems, Tools and Silos
  • Red Flags – Defining and Escalating
  • Identifying and Communicating Data to Internal and External Stakeholders
  • What Does Success Look Like?

Participants

Jill Ostergaard, Melissa Aoyagi, Valecia McDowell, Stephen Paine, Christos Tsamadias

Moderator

Jill Ostergaard

Partner and CCO

Exos TFP

Jill Ostergaard’s Biography

Panelists

Melissa Aoyagi

Managing Director, Global Head of Conduct Risk

Morgan Stanley

Melissa Aoyagi’s Biography

Stephen Paine

Managing Director, Global Banking and Markets Compliance and Operational Risk

Bank of America Merrill Lynch

Stephen Paine’s Biography

Christos Tsamadias

Managing Director, Head of Wealth Management US Audit

UBS Wealth Management

Christos Tsamadias’s Biography

Elements of a Conflicts Program Common Conflicts firm's face today Regulatory focus points and priority areas Conflicts of Interest enforcement cases

  • Elements of a Conflicts Program
  • Common Conflicts firm’s face today
  • Regulatory focus points and priority areas
  • Conflicts of Interest enforcement cases

Participants

Rich Link, Emma Bredin, W. Hardy Callcott, Chad Estep, James McHale

Moderator

Rich Link

Chief Compliance Officer

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

Seminar Chairperson

Rich Link’s Biography

Panelists

Emma Bredin

Chief Compliance Officer

Raymond James Financial, Inc.

Emma Bredin’s Biography

Chad Estep

Enterprise Chief Compliance Officer

E*TRADE Financial Corporation

Chad Estep’s Biography

James McHale

Executive Vice President & Chief Compliance Officer

Wells Fargo Advisors

James McHale’s Biography

A Regulator’s View: the Prime Brokerage, Securities Lending and Custody landscape Reg SHO and Short Interest Focus Areas Significant Enforcement Actions Upcoming Regulatory Initiatives

  • A Regulator’s View: the Prime Brokerage, Securities Lending and Custody landscape
  • Reg SHO and Short Interest Focus Areas
  • Significant Enforcement Actions
  • Upcoming Regulatory Initiatives

Participants

Robert O’Connor, Kevin J. Campion, Alina Casner, Eric Colchamiro, Michael A. Macchiaroli

Moderator

Robert O’Connor

Managing Director

Morgan Stanley

Robert O’Connor’s Biography

Panelists

Alina Casner

Managing Director & Head of Markets

BNY Mellon

Alina Casner’s Biography

Eric Colchamiro

Associate General Counsel

Goldman Sachs & Co. LLC

Eric Colchamiro’s Biography

Michael A. Macchiaroli

Associate Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Michael A. Macchiaroli’s Biography

SEC Fixed Income Regulatory Developments Sales and Trading Communications with Clients Best Execution & Market Transparency and Markups Treasury Markets Best Practices Group Recommendations on Information Handling Electronic Trading, Conduct…

  • SEC Fixed Income Regulatory Developments
  • Sales and Trading Communications with Clients
  • Best Execution & Market Transparency and Markups
  • Treasury Markets Best Practices Group Recommendations on Information Handling
  • Electronic Trading, Conduct Risk and Market Access Controls

Participants

Gary Rosen, Elizabeth H. Baird, Ben Juergens, Edward McLaren, Paul A. Merolla, Timothy Smith

Moderator

Panelists

Elizabeth H. Baird

Deputy Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Elizabeth H. Baird’s Biography

Ben Juergens

Managing Director in Legal & Compliance Division

Morgan Stanley

Ben Juergens’s Biography

Edward McLaren

Compliance and Operations Risk Executive

Bank of America Merrill Lynch

Edward McLaren’s Biography

Timothy Smith

Managing Director

Jefferies LLC

Timothy Smith’s Biography

Settlement and litigation strategies in the current Administration Self-Reporting and Remediation under Revised Agency and DOJ Enforcement Policies Negotiating and Litigating Regulatory Sanctions after Kokesh and Honeycutt Managing Parallel Investigations…

  • Settlement and litigation strategies in the current Administration
  • Self-Reporting and Remediation under Revised Agency and DOJ Enforcement Policies
  • Negotiating and Litigating Regulatory Sanctions after Kokesh and Honeycutt
  • Managing Parallel Investigations after DOJ and Agency Pronouncements Disfavoring Duplicative Actions and Sanctions
  • Assessing and Mitigating Collateral Consequences of Regulatory Actions and Settlements

Participants

Maria Douvas, George S. Canellos, Craig Carpenito, Susan L. Merrill, Jack Sena, Andrew Stemmer

Moderator

Maria Douvas

U.S. General Counsel & Global Head of Litigation

RBC

Maria Douvas’s Biography

Panelists

Craig Carpenito

United States Attorney, District of New Jersey

U.S. Department of Justice

Craig Carpenito’s Biography

Jack Sena

Deputy General Counsel, Head of the Regulatory Inquiries Group

Bank of America

Jack Sena’s Biography

Andrew Stemmer

Director & Senior Counsel, Litigation & Regulatory Investigations

Deutsche Bank AG

Andrew Stemmer’s Biography

Recent Privilege and Work Product Issues When Dealing with Regulators/Law Enforcement Best Practices for Conducting Internal Investigations and Safeguarding Privilege, including the “deputization” of Company Counsel CSI and the Privilege: …

  • Recent Privilege and Work Product Issues When Dealing with Regulators/Law Enforcement
  • Best Practices for Conducting Internal Investigations and Safeguarding Privilege, including the “deputization” of Company Counsel
  • CSI and the Privilege:  Avoiding Improper Disclosure of Banking Regulator Materials and Other Considerations
  • Privilege and Work Product Issues when Communicating with Outside Auditors, Vendors, Boards and Affiliates
  • Privilege Issues Unique to In-house Counsel, including RCHFU and Marriott Vacations

Participants

Janet Broeckel, Michele Coffey, Kelly Currie, Tim Magee, John Savarese, James Q. Walker

Moderator

Janet Broeckel

Managing Director, Associate General Counsel Litigation/Regulatory

Goldman, Sachs & Co.

Janet Broeckel’s Biography

Panelists

Tim Magee

Americas Head of Investigations & Enforcement

Barclays

Tim Magee’s Biography

Testing overview – what are the requirements (US registered broker-dealer; other entities) Developing and sustaining a robust Compliance Testing Plan Smart execution of the Compliance Testing Plan Packaging and distribution…

  • Testing overview – what are the requirements (US registered broker-dealer; other entities)
  • Developing and sustaining a robust Compliance Testing Plan
  • Smart execution of the Compliance Testing Plan
  • Packaging and distribution of Compliance Testing results
  • Compliance Testing – An Internal Auditor’s Perspective

Participants

Bruce Spiegler, David C. Boch, Ira Goldberg, Lori Ryan-Thurton, Ian Savage

Moderator

Bruce Spiegler

Head of Regulatory Affairs & Policy

Jefferies LLC

Bruce Spiegler’s Biography

Panelists

Ira Goldberg

Managing Director, Global Chief Auditor Compliance

Citigroup

Ira Goldberg’s Biography

Lori Ryan-Thurton

Americas Head of Compliance Testing

Deutsche Bank

Lori Ryan-Thurton’s Biography

Challenges of the smaller compliance and legal department:  Doing more with less? Circumstances for seeking outside help – advisors, counsel, consultants and other vendors? “Employment” issues:  hiring, firing, and retention…

  • Challenges of the smaller compliance and legal department:  Doing more with less?
  • Circumstances for seeking outside help – advisors, counsel, consultants and other vendors?
  • “Employment” issues:  hiring, firing, and retention
  • Hot Topics to Watch

Participants

Mark P. Fisher, Jacqueline Beauprez, Jeffry Freiburger, Jane Matoesian, W. Alan Smith, Terry R. Weiss

Moderator

Mark P. Fisher

Senior Vice President, General Counsel and Corporate Secretary

Stifel Financial Corp.

Mark P. Fisher’s Biography

Panelists

Jacqueline Beauprez

Senior Vice President & General Counsel

D.A. Davidson & Co.

Jacqueline Beauprez’s Biography

Jeffry Freiburger

Managing Director and Chief Compliance Officer

Robert W. Baird & Co.

Jeffry Freiburger’s Biography

Jane Matoesian

Senior Vice President and Managing Counsel

Benjamin F. Edwards & Co.

Jane Matoesian’s Biography

W. Alan Smith

Vice President & Deputy General Counsel

Janney Montgomery Scott LLC

W. Alan Smith’s Biography

Antitrust Developments and Practice Pointers - Boycott and Manipulation Theories, Key Defenses and the Impact of Parallel Proceedings Defending Spoofing Claims - Practical and Policy Considerations,  Regulatory Enforcement and the…

  • Antitrust Developments and Practice Pointers – Boycott and Manipulation Theories, Key Defenses and the Impact of Parallel Proceedings
  • Defending Spoofing Claims – Practical and Policy Considerations,  Regulatory Enforcement and the Impact on Civil Litigation
  • False Claims Act – Handling Cases in the Financial Services Space

Participants

James Mangan, Jill Centella, Matthew Fitzwater, Mary Jane Lee, Karen Hoffman Lent, Jonathan K. Youngwood

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

Matthew Fitzwater

Managing Director, Global Head of Litigation

Barclays

Matthew Fitzwater’s Biography

Mary Jane Lee

Managing Director and General Counsel

Citi

Mary Jane Lee’s Biography

11:10am – 11:30am

Networking Break

11:30am – 12:45pm

Securing a Hyper-Connected Enterprise Regulatory Expectations – SEC/FFIEC/FINRA The Changing Risk/Threat Landscape The Evolving Regulatory Environment Managing the Insider Threat – How to Protect Sensitive Data

  • Securing a Hyper-Connected Enterprise
  • Regulatory Expectations – SEC/FFIEC/FINRA
  • The Changing Risk/Threat Landscape
  • The Evolving Regulatory Environment
  • Managing the Insider Threat – How to Protect Sensitive Data

Participants

Patrick Cox, Keith Agisim, Michael Bahar, Erika Dean, Kevin Jacobsen

Moderator

Patrick Cox

Executive Vice President & Deputy General Counsel

LPL Financial LLC

Patrick Cox’s Biography

Panelists

Keith Agisim

Associate General Counsel

Bank of America

Keith Agisim’s Biography

Erika Dean

Information Security Officer

Capital One

Erika Dean’s Biography

Kevin Jacobsen

Executive Director, Cyber Investigations and Forensics

EY

Kevin Jacobsen’s Biography

Outside Counsel engagement Cybersecurity Artificial Intelligence and Other Technology Services How the legal industry service model is evolving

  • Outside Counsel engagement
  • Cybersecurity
  • Artificial Intelligence and Other Technology Services
  • How the legal industry service model is evolving

Participants

Rose Battaglia, Pamela Chepiga, Jeff Isaacs, Lani Quarmby, Samantha Schreiber

Moderator

Rose Battaglia

Managing Director and Global Chief Operating Officer - Legal Department

Deutsche Bank AG

Rose Battaglia’s Biography

Panelists

Jeff Isaacs

Managing Director and Global COO

Goldman, Sachs & Co.

Jeff Isaacs’s Biography

Lani Quarmby

Managing Director & Associate General Counsel

Bank of America

Lani Quarmby’s Biography

Samantha Schreiber

Executive Director & Counsel, US Litigation

Morgan Stanley

Samantha Schreiber’s Biography

Conduct Risk, Ethics and Culture: Definitions, Owners, and Programs Global Accountability Regimes, Conduct Risk and Culture Regulations and Expectations Ethical Misconduct: Identification, Tracking, and Disciplinary Outcomes Governance, Reporting, Metrics and…

  • Conduct Risk, Ethics and Culture: Definitions, Owners, and Programs
  • Global Accountability Regimes, Conduct Risk and Culture Regulations and Expectations
  • Ethical Misconduct: Identification, Tracking, and Disciplinary Outcomes
  • Governance, Reporting, Metrics and Data
  • Attorney-Client Privilege and Legal Considerations

Participants

Belinda Blaine, Susan F. Axelrod, Carlo V. di Florio, T. Brendan Kennedy

Moderator

Belinda Blaine

Managing Director

Morgan Stanley

Belinda Blaine’s Biography

Panelists

Susan F. Axelrod

Chief Supervisory Officer

Merrill Lynch Wealth Management

Susan F. Axelrod’s Biography

Carlo V. di Florio

Chief Risk Officer & Head of Strategy

FINRA

Carlo V. di Florio’s Biography

T. Brendan Kennedy

Partner

DLA Piper

T. Brendan Kennedy’s Biography

Focus on Products — Variable Annuities, Complex/Illiquid Securities, 529s, SEC-Share Class Selection Disclosure Initiative and UITs Scrutiny of Anti-Money Laundering Programs and Low Priced Securities — Monitoring, Investigations, Customer Due…

  • Focus on Products — Variable Annuities, Complex/Illiquid Securities, 529s, SEC-Share Class Selection Disclosure Initiative and UITs
  • Scrutiny of Anti-Money Laundering Programs and Low Priced Securities — Monitoring, Investigations, Customer Due Diligence, SARs, and Section 5 obligations
  • Recidivist Financial Advisors — On-Boarding, Heightened Supervision, High Risk FAs, and Individual Liability
  • Protection of Senior Investors — Impact of Recent FINRA and State Senior Rules/Laws, Enforcement Trends, and Best Practices
  • Dynamic Regulatory Environment — Cooperation, Litigating with Regulators, and Exposure of Individuals

Participants

Mark Keene, Michael Freedman, Jessica Hopper, Ben A. Indek, Nader Salehi, Andrew Sidman

Moderator

Mark Keene

Managing Director & Associate General Counsel Legal

Bank of America Corporation

Mark Keene’s Biography

Panelists

Michael Freedman

Assistant General Counsel, Regulatory

Raymond James Financial, Inc.

Michael Freedman’s Biography

Jessica Hopper

Senior Vice President, Deputy Chief of Enforcement, Regional Enforcement

FINRA

Jessica Hopper’s Biography

Nader Salehi

Partner, SEC Enforcement

Sidley Austin LLP

Nader Salehi’s Biography

Andrew Sidman

Principal, Securities

Bressler, Amery & Ross, P.C.

Andrew Sidman’s Biography

Customer Due Diligence Rule Marijuana-Related Businesses Cyber Regulatory Focus: Priorities; Exam Findings; Enforcement Lessons

  • Customer Due Diligence Rule
  • Marijuana-Related Businesses
  • Cyber
  • Regulatory Focus: Priorities; Exam Findings; Enforcement Lessons

Participants

Charlie George, Katrina A. Carroll, Sharon Cohen Levin, James Fiebelkorn, Sarah D. Green, Satish M. Kini

Moderator

Charlie George

Senior Vice President, Group Financial Crimes Manager

Wells Fargo Bank

Charlie George’s Biography

Panelists

Katrina A. Carroll

Executive Vice President and Chief Anti-Money Laundering Officer

LPL Financial LLC

Katrina A. Carroll’s Biography

Sharon Cohen Levin

Partner

WilmerHale

Sharon Cohen Levin’s Biography

James Fiebelkorn

Vice President and Global AML Officer

Ameriprise Financial Services Inc.

James Fiebelkorn’s Biography

Sarah D. Green

Global Head of Financial Crimes Officer

Vanguard Group, Inc.

Sarah D. Green’s Biography

MSRB Rulemaking Updates SEC Rule Amendments to 15c2-12 SEC Enforcement Cases FINRA Sweeps; Pennying & PMP Reviews

  • MSRB Rulemaking Updates
  • SEC Rule Amendments to 15c2-12
  • SEC Enforcement Cases
  • FINRA Sweeps; Pennying & PMP Reviews

Participants

Margaret “Peg” Henry, Richard Agster, Leslie Norwood, Lanny Schwartz, Andrew Southerling

Moderator

Margaret “Peg” Henry

Deputy General Counsel

Stifel Financial Corp.

Margaret “Peg” Henry’s Biography

Panelists

Richard Agster

Director of Fixed Income Compliance

Raymond James

Richard Agster’s Biography

Leslie Norwood

Managing Director & Associate General Counsel, Municipal Securities Division

SIFMA

Leslie Norwood’s Biography

12:45pm – 12:45pm

Seminar Adjourns

Venue

JW Marriott Phoenix Desert Ridge

5350 East Marriott Drive
Phoenix, AZ 85054

Set on 316 spectacular acres in the Sonoran Desert, the award-winning JW Marriott Phoenix Desert Ridge offers breathtaking views and everything you’ll require for a remarkable conference experience, less than 20 miles from downtown Scottsdale, Arizona.

Picture of venue

Hotel Accommodations

Host Venue

JW Marriott Phoenix Desert Ridge
5350 East Marriott Drive
Phoenix, AZ 85054

Overflow Hotels

Cambria Hotel & Suites Phoenix 
4425 E. Irma Lane
Phoenix, AZ 85050

Shuttle bus service will be provided between Cambria and the JW Marriott Desert Ridge during seminar hours. Cambria is located 1.7 miles away from Desert Ridge and, it is a 7-minute drive between properties.

Fairmont Scottsdale Princess
7575 East Princess Drive
Scottsdale, AZ 85255

Shuttle bus service will be provided between the Fairmont Scottsdale Princess and the JW Marriott Desert Ridge during seminar hours. The Fairmont is located 5.2 miles away from Desert Ridge and, it is a 15-minute drive between properties.

Scottsdale Marriott at McDowell Mountains
16770 North Perimeter Drive
Scottsdale, AZ 85260

Shuttle bus service will be provided between the Scottsdale Marriott at McDowell Mountains and the JW Marriott Desert Ridge during seminar hours. The Fairmont is located 6.6 miles away from Desert Ridge and, it is a 15-minute drive between properties.

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
  • MA
  • ME
  • MI
  • MN
  • MO
  • MT
  • NC
  • NE
  • NJ
  • NY
  • OH
  • OR
  • PA
  • SC
  • TN
  • TX
  • VA
  • WA
  • WI

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
Select sessions at this event will be open to the press. View SIFMA’s official press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

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

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

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

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.

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