Overview

Each year, the SIFMA Financial Management Society (SIFMA FMS) Regional Conference gathers industry leaders, regulators and financial managers to examine the latest developments in securities finance, regulatory priorities, accounting and tax.

This year’s conference participants were eligible for 11.6 CPE credits. View the 2019 program.

FMS Regional Conference

Date

June 10 - June 12, 2020

Location

Chicago, IL

Hosted by

SIFMA FMS

Overview

Each year, the SIFMA Financial Management Society (SIFMA FMS) Regional Conference gathers industry leaders, regulators and financial managers to examine the latest developments in securities finance, regulatory priorities, accounting and tax.

This year’s conference participants were eligible for 11.6 CPE credits. View the 2019 program.

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

8:45am – 5:05pm

Sponsored by KPMG LLP

Sponsored by KPMG LLP

8:55am – 9:45am

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

9:45am – 11:00am

During this session participants will learn of what the regulators and the industry are thinking about liquidity. With  FINRA Notice 15-33 and the SEC future rulemaking including both a liquidity…

During this session participants will learn of what the regulators and the industry are thinking about liquidity. With  FINRA Notice 15-33 and the SEC future rulemaking including both a liquidity and leverage updates. Topics will also include the transition to the alternative rate benchmark due to end of Libor expected after 2021.

Participants

Michael Bolan, Steven W. Kastenholz, Paul Shoukry, Bill Wollman

Moderator

Michael Bolan

Managing Director, Risk Advisory Services

Deloitte & Touche LLP

Michael Bolan’s Biography

Panelists

Steven W. Kastenholz

Former Managing Director & Treasurer

SG Americas Securities, LLC

Steven W. Kastenholz’s Biography

Paul Shoukry

SVP of Finance, Treasurer & Head of Investor Relations

Raymond James Financial

Paul Shoukry’s Biography

Bill Wollman

Executive Vice President, Member Supervision

FINRA

Bill Wollman’s Biography

11:00am – 11:15am

11:15am – 12:05pm

Broker-dealer financial regulatory team performance - in producing daily compliant computations and related reporting - is dependent on cross functional collaboration within firms.  Topics for this panel include an overview…

Broker-dealer financial regulatory team performance – in producing daily compliant computations and related reporting – is dependent on cross functional collaboration within firms.  Topics for this panel include an overview of the latest science of team trust, followed by a discussion on regulatory reporting team challenges, successes and strategies to enhance team performance in an increasingly complex environment.

Participants

Bernie Henning, Jessica S. McIntosh, Amy C. Shelly, Keith Wenk

Moderator

Bernie Henning

Client Executive, Financial Services

EY

Bernie Henning’s Biography

Panelists

Jessica S. McIntosh

Senior Vice President, Controller

U.S. Bancorp Investments, Inc.

Jessica S. McIntosh’s Biography

Amy C. Shelly

Senior Vice President and Chief Financial Officer

Options Clearing Corporation

Amy C. Shelly’s Biography

Keith Wenk

Director of Regulatory & External Reporting

Edward Jones

Keith Wenk’s Biography

12:05pm – 1:05pm

Sponsored by EY LLP

Sponsored by EY LLP

1:05pm – 1:55pm

The economic and market update will provide the latest developments in market activity and share the current state of the financial sector. Participants will be able to apply perspectives, data…

The economic and market update will provide the latest developments in market activity and share the current state of the financial sector. Participants will be able to apply perspectives, data and trends provided on the financial services industry to business strategy, corporate decision making, evaluating new business opportunities, and so on.

Participants

Diane Swonk

Speaker

Diane Swonk

Chief Economist

Grant Thornton LLP

Diane Swonk’s Biography

1:55pm – 3:10pm

During this session participants will learn of best practices used by CFO/Finance professionals in managing their firm and departments. Topics can include but not be limited to cost control, risk…

During this session participants will learn of best practices used by CFO/Finance professionals in managing their firm and departments. Topics can include but not be limited to cost control, risk management, financial and regulatory reporting.

Participants

Dale R. Weigand, Dana L. Bjornson, Michelle M. Sandberg, Frederick Schrick

Moderator

Dale R. Weigand

Chief Financial Officer/Director

Boenning & Scattergood

Dale R. Weigand’s Biography

Panelists

Dana L. Bjornson

Executive Vice President and Chief Financial and Compliance Officer

George K. Baum & Company

Dana L. Bjornson’s Biography

Michelle M. Sandberg

Executive Vice President, Treasurer, and Chief Financial Officer

Dougherty & Company LLC

Michelle M. Sandberg’s Biography

Frederick Schrick

Chief Financial Officer

Stifel Nicolaus

Frederick Schrick’s Biography

3:10pm – 3:25pm

Networking Break

3:25pm – 4:15pm

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

Carter K. McDowell

Speaker

Carter K. McDowell

Managing Director, Associate General Counsel

SIFMA

Carter K. McDowell’s Biography

4:15pm – 5:05pm

As an accomplished senior executive with over 30 years of experience in the Brokerage, Wealth, Investment Management, Institutional, and Private Banking business, Mr. Mara will discuss the Securities Industry past,…

As an accomplished senior executive with over 30 years of experience in the Brokerage, Wealth, Investment Management, Institutional, and Private Banking business, Mr. Mara will discuss the Securities Industry past, present and future.

Participants

Dale R. Weigand, Michael Mara

Moderator

Dale R. Weigand

Chief Financial Officer/Director

Boenning & Scattergood

Dale R. Weigand’s Biography

Speaker

5:30pm – 8:00pm

Sponsored by RSM US LLP

River Roast Chicago 315 N LaSalle Dr Chicago, IL 60654

Sponsored by RSM US LLP

River Roast Chicago
315 N LaSalle Dr
Chicago, IL 60654

8:15am – 12:00pm

Registration Desk Hours

8:15am – 9:00am

Networking Breakfast

8:59am – 12:00pm

Sponsored by KPMG LLP

Sponsored by KPMG LLP

9:00am – 9:50am

Recent financial turmoil has heightened concern and focus of enterprises on risk management (ERM), asserting the need for a robust framework to effectively identify, assess, and manage risk. Some key…

Recent financial turmoil has heightened concern and focus of enterprises on risk management (ERM), asserting the need for a robust framework to effectively identify, assess, and manage risk. Some key areas are: focus on risk management by boards of directors, broad adoption of CRO position, ERM becoming standard practice in organizations, and increasing use of stress tests; more attention is needed on conduct risk and risk culture; increasing importance and cost of regulatory requirements, risk data and technology systems all continue to pose challenges.

Participants

Daniel Bender, Louis Giacalone, Vishal Thakkar, Bridget Wherley

Moderator

Daniel Bender

Managing Director

EY

Daniel Bender’s Biography

Panelists

Louis Giacalone

Director Trader Operations, Oversight & Supervision

TD Ameritrade

Louis Giacalone’s Biography

Vishal Thakkar

Senior Vice President, Head of Enterprise Risk Management

Options Clearing Corporation

Vishal Thakkar’s Biography

Bridget Wherley

Head of Risk Control and Audit

Piper Jaffray Companies

Bridget Wherley’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, Michael A. Macchiaroli, Thomas J. Smith, Bill Wollman

Moderator

Daniel T. McIsaac

Director, Advisory Practice

KPMG LLP

Daniel T. McIsaac’s Biography

Panelists

Michael A. Macchiaroli

Associate Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Michael A. Macchiaroli’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 Supervision

FINRA

Bill Wollman’s Biography

Venue

Renaissance Chicago Downtown Hotel

1 West Wacker Drive
Chicago, IL 60601

Perched on the edge of the Loop, this award-winning and recently renovated hotel will captivate you from the moment you arrive with thoughtful amenities and world-class service for a modern conference experience.

Picture of venue

Accreditation

As a participant of the FMS Regional Conference, you will be eligible to receive CPE Credits. Participants will learn the latest developments in securities finance, regulatory priorities, accounting and tax. This session is eligible for up to 11.6 CPE Credits.

Fields of Study:
• Accounting: 1.0 hr
• Economics: 1.0 hr
• Management Serivices: 2.5 hrs
• Personal Development: 2.5 hrs
• Specialized Knowledge: 4.6 hours

Program Level: Intermediate
Delivery Method: Group Live
Advance Preparation: None

 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.nasbaregistry.org.

Media

Media Inquiries
Contact Evan Grogan at 212.313.1134

Media Registration
Contact Evan Grogan at 212.313.1134

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.

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.