Overview

Join us for the 2019 FMS Education Day – designed to bring you the latest developments on new and existing financial, accounting and regulatory rules impacting the industry.

On May 15 in New York City, the FMS Education Day will examine rules relating to Broker-Dealer Securities Operations and Net Capital & Customer Protection.

Attend one session (half day) or both (full day). Save when you sign up for both sessions!

View Program

Financial Management Society Education Day

Date

May 15, 2019

Location

New York, NY or Webinar

Hosted by

SIFMA FMS

Overview

Join us for the 2019 FMS Education Day – designed to bring you the latest developments on new and existing financial, accounting and regulatory rules impacting the industry.

On May 15 in New York City, the FMS Education Day will examine rules relating to Broker-Dealer Securities Operations and Net Capital & Customer Protection.

Attend one session (half day) or both (full day). Save when you sign up for both sessions!

Pricing

Securities Operations (Morning Session)
Member $175
Non-Member $275
Regulator $75
Net Capital & Customer Protection (Afternoon Session)
Member $175
Non-Member $275
Regulator $75
Full Day Event
Member $300
Non-Member $500
Regulator $150
Pricing
Securities Operations (Morning Session) Net Capital & Customer Protection (Afternoon Session) Full Day Event
Member $175 $175 $300
Non-Member $275 $275 $500
Regulator $75 $75 $150

Program

8:00am – 6:00pm

Registration Desk Hours

8:00am – 8:30am

Networking Breakfast

8:30am – 10:00am

• Pillars of Operations (Processing, Trade Flow, Books & Records, Reconciliations) • Checkpoints Built into the Settlement Cycle (ie. Fraud Prevention) • Control and Supervision of Broker/Dealer Securities Operations

• Pillars of Operations (Processing, Trade Flow, Books & Records, Reconciliations)
• Checkpoints Built into the Settlement Cycle (ie. Fraud Prevention)
• Control and Supervision of Broker/Dealer Securities Operations

Participants

John Clemente, Frank Giannico, Anthony Stucchio

Speakers

John Clemente

Director

PwC

John Clemente’s Biography

Anthony Stucchio

Managing Director, COO- DCRO America's Head & Chief Operations Officer

Deutsche Bank Securities Inc.

Anthony Stucchio’s Biography

10:00am – 10:15am

Networking Break

10:15am – 12:00pm

• Pillars of Operations (Processing, Trade Flow, Books & Records, Reconciliations) • Checkpoints Built into the Settlement Cycle (ie. Fraud Prevention) • Control and Supervision of Broker/Dealer Securities Operations

• Pillars of Operations (Processing, Trade Flow, Books & Records, Reconciliations)
• Checkpoints Built into the Settlement Cycle (ie. Fraud Prevention)
• Control and Supervision of Broker/Dealer Securities Operations

Participants

John Clemente, Frank Giannico, Anthony Stucchio

Speakers

John Clemente

Director

PwC

John Clemente’s Biography

Anthony Stucchio

Managing Director, COO- DCRO America's Head & Chief Operations Officer

Deutsche Bank Securities Inc.

Anthony Stucchio’s Biography

12:00pm – 1:30pm

Participants

David Aman

Speaker

David Aman

Senior Advisor, Risk Oversight and Operational Regulation (ROOR)

FINRA

David Aman’s Biography

1:30pm – 3:00pm

• Discover the origins of Broker/Dealer Financial Responsibility Rules • Determination of Net Capital • Overview of Customer Protection • Learn the requirements for Protection of Customer and PAB Portfolios…

• Discover the origins of Broker/Dealer Financial Responsibility Rules
• Determination of Net Capital
• Overview of Customer Protection
• Learn the requirements for Protection of Customer and PAB Portfolios
• Understand the Preparation of Customer and PAB Reserve Requirement

Participants

Mark Axelrod, David Grumer, Ralph Mattone

Speakers

Mark Axelrod

Vice President COO Divisional Control and Regulatory Office

Deutsche Bank

Mark Axelrod’s Biography

Ralph Mattone

Managing Director, Finance

UBS

Ralph Mattone’s Biography

3:00pm – 3:15pm

Networking Break

3:15pm – 5:00pm

• Discover the origins of Broker/Dealer Financial Responsibility Rules • Determination of Net Capital • Overview of Customer Protection • Learn the requirements for Protection of Customer and PAB Portfolios…

• Discover the origins of Broker/Dealer Financial Responsibility Rules
• Determination of Net Capital
• Overview of Customer Protection
• Learn the requirements for Protection of Customer and PAB Portfolios
• Understand the Preparation of Customer and PAB Reserve Requirement

Participants

Mark Axelrod, David Grumer, Ralph Mattone

Speakers

Mark Axelrod

Vice President COO Divisional Control and Regulatory Office

Deutsche Bank

Mark Axelrod’s Biography

Ralph Mattone

Managing Director, Finance

UBS

Ralph Mattone’s Biography

5:00pm – 6:00pm

Networking Reception

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accommodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)

Accreditation

Eligible for up to 7.8 hr CPE Credit
Field of Study: Specialized Knowledge
Program Level: Intermediate
Delivery Method: Group-Live or Webinar
No Advanced Preparation or Prerequisites Required

*CEU Institute to provide CPE Certificates
* CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.com

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.