7th Annual

Credit & Margin Annual Conference

Date

June 06 - June 07, 2018

Location

Denver, CO

Hosted by

SIFMA Credit & Margin Section

Registration Rates – Until 6/6/18

  • Credit & Margin Member $200
  • Non-Member $450

Overview

The seventh annual Credit & Margin Conference is headed to Denver, Colorado! Join margin practitioners and industry specialists for a day and a half seminar and networking opportunities at the Brown Palace Hotel. Potential topics of discussion include:

  • Portfolio Margin: Ten Years Later
  • Asset Transfers – Best Practices
  • Managing Credit and Risk for Registered Investment Advisors
  • Margin Department 2025 – New Technologies and Products
  • Regulatory Panel featuring the SEC, Federal Reserve, CBOE, DTCC, the OCC and FINRA
  • Plus more!

Program

5:00pm – 7:00pm

Registration Hours

8:15am – 5:00pm

Registration Hours

8:15am – 9:00am

Networking Breakfast

9:00am – 9:10am

Participants

Michael Nierva

9:10am – 9:45am

With increased computing power, new techniques in machine learning and the application of artificial intelligence, or understanding and control of risk is changing dramatically. This address will provide an overview…

With increased computing power, new techniques in machine learning and the application of artificial intelligence, or understanding and control of risk is changing dramatically. This address will provide an overview of current developments and a glimpse of what the future may hold.

Participants

Richard R. Lindsey, PhD

Speaker

Richard R. Lindsey, PhD

Managing Partner

Windham Capital Management

Chief Investment Officer

Windham Liquid Alternatives

Richard R. Lindsey, PhD’s Biography

9:45am – 10:45am

As gatekeepers of the firm’s most critical assets held for the benefit of its customers, the Margin department (along with other key areas of Financial Services Firms)  must analyze any…

As gatekeepers of the firm’s most critical assets held for the benefit of its customers, the Margin department (along with other key areas of Financial Services Firms)  must analyze any asset transfer request not only as is harmonious with house and regulatory requirements but for authenticity. Join us as we discuss how firms and vendors marry policies and procedures to AI in an effort to prevent fraud and misappropriation.

Participants

Richard M. Primavera, James Barry, Paul Bjerke, Sean Frazier, Edward J. Mannix

Moderator

Richard M. Primavera

Managing Director, US Head of Securities Operations

Jefferies LLC

Richard M. Primavera’s Biography

Panelists

James Barry

Executive Director and Global Head of Institutional Securities Margin Solutions

Morgan Stanley

James Barry’s Biography

Paul Bjerke

Vice President, Fraud and Identity Management

LexisNexis Risk Solutions

Paul Bjerke’s Biography

Sean Frazier

Advisory CISO, Federal

DUO

Sean Frazier’s Biography

Edward J. Mannix

Senior Vice Presidentand Anti-Money Laundering Compliance Officer

Jefferies LLC

Edward J. Mannix’s Biography

10:45am – 11:00am

Networking Break

11:00am – 12:00pm

Panelists from three of the largest service providers in the Advisor space will discuss how they manage risk for the Registered Investment Advisors. Discussion points will touch on credit, market…

Panelists from three of the largest service providers in the Advisor space will discuss how they manage risk for the Registered Investment Advisors. Discussion points will touch on credit, market risk, operational risk, surveillance and compliance related issues. The panel will discuss how risk monitoring in the Advisor space may differ from other business segments such as Hedge Funds or Introduced Broker Dealers.

Participants

Joseph Pergola, Roger Curylo, Paul Johnson, Brian Terraciano

Moderator

Joseph Pergola

Director, Global Head of Margin, Cash Management and Derivative Settlements

Citi

Joseph Pergola’s Biography

Panelists

Roger Curylo

Senior Vice President and Head of Credit Risk

Fidelity Investments

Roger Curylo’s Biography

Paul Johnson

Managing Director of Margin Services

Charles Schwab & Co., Inc.

Paul Johnson’s Biography

12:00pm – 1:00pm

Sponsored by Capco 

Sponsored by Capco 

1:00pm – 2:30pm

Hear directly from the regulators on current issues, trends and initiatives. The panel will be moderated by Cadwalader as representatives from The Federal Reserve Board, the SEC, FINRA, the CBOE,…

Hear directly from the regulators on current issues, trends and initiatives. The panel will be moderated by Cadwalader as representatives from The Federal Reserve Board, the SEC, FINRA, the CBOE, the OCC and DTCC share their views on various hot topics. As attendees, you will have the unique opportunity to directly ask these regulators your questions during a scheduled Q&A session.

Participants

Steven Lofchie, James J. Adams, Timothy Cuddihy, Kris Dailey, William Eineke, Scott Holz, Thomas K. McGowan

Moderator

Steven Lofchie

Partner, Head of the Financial Regulatory Group

Cadwalader, Wickersham & Taft LLP

Steven Lofchie’s Biography

Panelists

James J. Adams

Director, Credit Regulation

Chicago Board Options Exchange (CBOE)

James J. Adams’s Biography

Timothy Cuddihy

Managing Director, Financial and Operational Risk Management (FORM)

DTCC

Timothy Cuddihy’s Biography

Kris Dailey

Vice President, Risk Oversight & Operational Regulation

FINRA

Kris Dailey’s Biography

William Eineke

Vice President, Financial Risk Management - Pricing and Margins

OCC

William Eineke’s Biography

Thomas K. McGowan

Associate Director, Division of Trading and Markets, Office of Broker-Dealer Finances

U.S. Securities and Exchange Commission

Thomas K. McGowan’s Biography

2:30pm – 2:45pm

Networking Break

2:45pm – 3:45pm

Join us as we take a brief historical look back at Margin Department functions and tools used over the past decades.  We will then transition into existing technologies that has…

Join us as we take a brief historical look back at Margin Department functions and tools used over the past decades.  We will then transition into existing technologies that has allowed Margin Departments to effectively transform into the 21 century. Finally to close out the session, the panel will exam technologies that are being developed that can further transform the way a Margin Department operates in the future.

Participants

Kevin Fitzgerald, Michael T. Curley, Mark D. Demo

Moderator

Kevin Fitzgerald

Executive Director, Global Margin

JPMorgan Chase & Co.

Kevin Fitzgerald’s Biography

Panelists

Mark D. Demo

Product Director, Industry and Marketing

AcadiaSoft

Mark D. Demo’s Biography

3:45pm – 4:45pm

Take a stroll down memory lane as panelists who were involved in the advent and progression of the Portfolio Margin offering speak about their unique insights related to the early…

Take a stroll down memory lane as panelists who were involved in the advent and progression of the Portfolio Margin offering speak about their unique insights related to the early beginnings of Portfolio Margin, its evolution and where it may go from here. They will discuss how the product has developed from a Risk perspective as balances in Portfolio Margin accounts and client participation has continued to rise over the years.

Participants

Glen Garofalo, Mohit Dayal, Paul Jordan, David Richardson

Moderator

Glen Garofalo

Managing Director, Head of Margin - Prime Services

Cantor Fitzgerald

Glen Garofalo’s Biography

Panelists

Mohit Dayal

Managing Director

FINRA

Mohit Dayal’s Biography

Paul Jordan

Director, Systemic Risk Office (SRO)

DTCC

Paul Jordan’s Biography

David Richardson

Senior Vice President - Collateral, Market and Prime Brokerage Risk Management

Fidelity Investments

David Richardson’s Biography

4:45pm – 5:00pm

Participants

Michael Nierva

Venue

Brown Palace Hotel

321 17th Street
Denver, CO 80202

The Brown Palace Hotel and Spa, Autograph Collection, located in the heart of downtown Denver, is an icon rich in tradition and history.

Hotel Accommodations

Rooms are available for $239/night, plus taxes (Currently 15.75%).

Book a Room

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.