FMS Regional Conference

Date

June 13 - June 15, 2018

Location

Chicago, IL

Overview

2018 marked the 25th anniversary of the annual Financial Management Society (FMS) Regional Conference.

Each year, the SIFMA FMS Regional Conference gathers financial management leaders, professionals, and regulators to discuss the latest developments in securities finance, regulation, accounting and tax. On June 13-15, industry leaders and financial management professionals joined in key discussions with regulatory agencies including the SEC and FINRA.

Program

6:00pm – 7:30pm

Welcome Reception

8:00am – 5:00pm

Registration Desk Hours

8:00am – 8:45am

Sponsored by Deloitte

Sponsored by Deloitte

8:45am – 8:55am

Participants

Anthony Stucchio

Speaker

Anthony Stucchio

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

Deutsche Bank Securities Inc.

Anthony Stucchio’s Biography

8:55am – 9:55am

The Accounting Update will provide an overview of the changing accounting guidance and regulation impacting the financial services industry.

The Accounting Update will provide an overview of the changing accounting guidance and regulation impacting the financial services industry.

Participants

Paul J. Nockels

Speaker

Paul J. Nockels

Partner, Assurance Services

RSM US LLP

Paul J. Nockels’s Biography

9:55am – 11:10am

Blockchain (also known as Distributed Ledger Technology) is the underlying technology that enables cryptocurrencies, such as Bitcoin and Ethereum. Blockchain technology has the potential to reshape many industries and transaction types,…

Blockchain (also known as Distributed Ledger Technology) is the underlying technology that enables cryptocurrencies, such as Bitcoin and Ethereum. Blockchain technology has the potential to reshape many industries and transaction types, including the exchange of and investment in securities. This panel will demystify some of the applications and use cases of blockchain, while discussing the impact to brokerage and other financial services firms that implement blockchain projects - including operations, compliance and regulatory, integration of blockchain with existing processes and technology.

Participants

Rob Massey, David Aman, Marlon Q. Paz

Moderator

Panelists

David Aman

Senior Advisor, Risk Oversight and Operational Regulation (ROOR)

FINRA

David Aman’s Biography

11:10am – 11:25am

11:25am – 12:25pm

This session addresses innovations in the securities industry. These are not “what if” ideas, but automation technologies and innovations that exist today that will grow exponentially over the next decade.…

This session addresses innovations in the securities industry. These are not “what if” ideas, but automation technologies and innovations that exist today that will grow exponentially over the next decade. Topics include: Robotic Process Automation, Machine Learning and Artificial Intelligence.

Participants

Tim Williams, Wendy Rick, Patrick Roach

Moderator

Panelists

Wendy Rick

Group Leader, Account Billing / Recon Control

Edward Jones

Wendy Rick’s Biography

Patrick Roach

Director and Chief Financial Officer

ING Financial Markets LLC

Patrick Roach’s Biography

12:25pm – 2:00pm

The Economic and Market Update will provide the latest developments in market activity and share the current state of the financial sector. Participants can apply perspectives, data and trends provided…

The Economic and Market Update will provide the latest developments in market activity and share the current state of the financial sector. Participants can apply perspectives, data and trends provided on the Financial Services industry to business strategy, corporate decision making, evaluating new business opportunities, and other areas of the business.

Participants

Gregg Fuesel, Brian S. Wesbury

Speakers

Gregg Fuesel

Director, Regulatory Reporting

TD Ameritrade, Inc.

Gregg Fuesel’s Biography

2:00pm – 3:15pm

This session will describe today’s cyber threats faced by the financial services industry, and the best practices to address cyber risk. Discussion topics include: looking at firm culture, ongoing training,…

This session will describe today’s cyber threats faced by the financial services industry, and the best practices to address cyber risk. Discussion topics include: looking at firm culture, ongoing training, information sharing, and operational resilience – in addition to lessons learned and successes of financial peers.

Participants

Paul Hinds, Andrew Innocenti, Jerald Tillery, Bill Wollman

Moderator

Paul Hinds

Managing Director

PwC

Paul Hinds’s Biography

Panelists

Jerald Tillery

Vice President Cyber Security Architecture and Engineering

Options Clearing Corporation

Jerald Tillery’s Biography

Bill Wollman

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

FINRA

Bill Wollman’s Biography

3:15pm – 3:30pm

Networking Break

3:30pm – 4:00pm

The Washington Update will provide the latest information on the legislative and regulatory actions relating to the financial services industry.

The Washington Update will provide the latest information on the legislative and regulatory actions relating to the financial services industry.

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

4:00pm – 5:00pm

Chairman of Robert W. Baird & Co., Paul E. Purcell, and SIFMA's President and CEO, Kenneth E. Bentsen, Jr. will discuss the industry and regulatory landscape as well as the…

Chairman of Robert W. Baird & Co., Paul E. Purcell, and SIFMA's President and CEO, Kenneth E. Bentsen, Jr. will discuss the industry and regulatory landscape as well as the priorities ahead for financial management professionals. During their conversation, Mr. Purcell and Mr. Bentsen will also offer insights into trends and their impact on the capital markets, before concluding the session with a look to the future.

Participants

Kenneth E. Bentsen, Jr., Paul E. Purcell

Speakers

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

5:30pm – 8:00pm

Sponsored by RSM US LLP

The Godfrey Hotel Chicago, 127 West Huron at LaSalle, Chicago, IL 60654

Sponsored by RSM US LLP

The Godfrey Hotel Chicago, 127 West Huron at LaSalle, Chicago, IL 60654

8:15am – 12:00pm

Registration Desk Hours

8:15am – 9:00am

Networking Breakfast

9:00am – 9:50am

This session on Internal Audit will cover hot topics from multiple financial services perspectives. Topics include: reoccurring audit finding, 17a-5 compliance report and exemption reports, and monitoring risk and controls.

This session on Internal Audit will cover hot topics from multiple financial services perspectives. Topics include: reoccurring audit finding, 17a-5 compliance report and exemption reports, and monitoring risk and controls.

Participants

Aileen Wright Bacon, Robert F. Cullen III, Kristine Gaeta, Bill Hard

Moderator

Aileen Wright Bacon

Executive Director, Advisory Services

Ernst & Young LLP

Aileen Wright Bacon’s Biography

Panelists

Robert F. Cullen III

Principal, Internal Audit

Edward Jones

Robert F. Cullen III’s Biography

Kristine Gaeta

Vice President, Internal Audit

Charles Schwab & Co., Inc.

Kristine Gaeta’s Biography

Bill Hard

Internal Audit Director

William Blair

Bill Hard’s Biography

9:50am – 12:00pm

This interactive panel will provide insight and address questions on the current regulatory landscape, and offer practical guidance on managing the rapid changes in the industry. Participants can expect to…

This interactive panel will provide insight and address questions on the current regulatory landscape, and offer practical guidance on managing the rapid changes in the industry. Participants can expect to associate current accounting policy and standards to the regulatory framework (such as, lease accounting changes, etc.), and discuss current regulatory changes and the impact they have on business decisions, corporate governance, company structure, company profitability, accounting/tax policy, and other areas.

Participants

Daniel T. McIsaac, Timothy C. Fox, Thomas J. Smith, Bill Wollman

Moderator

Daniel T. McIsaac

Director, Advisory Practice

KPMG LLP

Daniel T. McIsaac’s Biography

Panelists

Timothy C. Fox

Branch Chief, Division of Trading and Markets

U.S. Securities and Exchange Commission

Timothy C. Fox’s Biography

Thomas J. Smith

Deputy Director, Division of Swap Dealer and Intermediary Oversight

Commodity Futures Trading Commission

Thomas J. Smith’s Biography

Bill Wollman

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

FINRA

Bill Wollman’s Biography

Venue

Hyatt Centric Chicago Magnificent Mile

633 North Saint Clair Street
Chicago, IL 60611

While attending the conference at the Hyatt Centric Chicago Magnificent Mile, you’ll experience the electric energy of the Windy City with a coveted address right on Michigan Avenue.

Picture of venue

Related Resources

Accreditation

As a participant of the FMS Regional Conference, you will be eligible to receive CPE Credits.

Instructional Delivery Method:
 Group Live
Prerequisites: None
Advanced Preparation: None
Program Level: Intermediate

The program is eligible for a total of 11.6 hours. See a breakdown of the fields of study below:

Accounting: 1.2hrs
Audit: 1hr
Finance: 5.2hrs
Information Technology: 4.2hrs
For more information, contact Meagan Prescott.
*CEU Institute to Provide CPE Certificates

 CPE
CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing 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.learningmarket.com.   

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
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.