Internal Auditors Society (IAS) Annual Conference

Managing Risk in a Disruptive Environment

Date

November 04 - November 07, 2018

Location

Nashville, TN

Hosted by

SIFMA IAS

Pre-Conference Rates – Until 11/4/18

  • Member $1395
  • Membership + Registration $1470
  • Non-Member $1645

Overview

The rapid pace of change driven by technology and innovation, shifts in geopolitical landscape, changes in regulatory focus, and dynamic workforce demographics are having an unprecedented effect on all areas of the securities industry.

This year’s SIFMA IAS Annual Conference will convene internal audit, risk management and compliance professionals to discuss the challenges of managing risk in a disruptive environment and share perspectives on how firms are addressing them.

Join us on November 4-7 in Nashville to collaborate with leaders and peers, take a deep dive into key issues, bring back actionable takeaways to your firm, and participate in focused discussions including Future Leaders, Women in Securities, and more.

Featured Speakers

Program

12:00pm – 5:00pm

Located 10 minutes from Nashville International Airport and 5 minutes from Gaylord Opryland Resort, Gaylord Springs Golf Links has consistently been recognized among GolfWeek’s best courses you can play in…

Located 10 minutes from Nashville International Airport and 5 minutes from Gaylord Opryland Resort, Gaylord Springs Golf Links has consistently been recognized among GolfWeek’s best courses you can play in Tennessee.

Please email Lizzie Grimm at [email protected] to reserve your spot.

Location

Gaylord Springs Golf Links

6:30pm – 8:00pm

Welcome Reception

7:30am – 8:30am

Networking Breakfast

8:30am – 4:00pm

General Session Audio Visual Sponsored by EY

General Session Audio Visual Sponsored by EY

8:30am – 8:35am

Participants

Paul Jensen

Speaker

Paul Jensen

Internal Audit Chief Administrative Officer and Head of Audit Practices

JPMorgan Chase & Co.

Paul Jensen’s Biography

8:35am – 8:40am

Participants

Jack McNamara

Speaker

Jack McNamara

Deputy Chief Auditor

BNY Mellon

Jack McNamara’s Biography

8:40am – 9:30am

This talk will provide a historical perspective of technology driven disruptions in financial services and follow it up with ideas on how risk managers must evolve their tools and methods…

This talk will provide a historical perspective of technology driven disruptions in financial services and follow it up with ideas on how risk managers must evolve their tools and methods to meet the changing landscape.

Participants

Rajesh Jayaraman

Speaker

Rajesh Jayaraman

Chief Technology Officer

Ellevest

Rajesh Jayaraman’s Biography

9:30am – 10:20am

With the ongoing disruptions to business caused by new technology, regulatory change, political uncertainty and strategic objectives, our audit functions need to be infused with renewed energy so that we…

With the ongoing disruptions to business caused by new technology, regulatory change, political uncertainty and strategic objectives, our audit functions need to be infused with renewed energy so that we can be dynamic and pro-actively be at the forefront of such change. We need to successfully tackle our audit world face-on while also balancing current lifestyle expectations and the needs of our teams. The right energy within our audit groups will help audit leaders manage the challenges of retaining and developing strong talent, understanding the needs and wants of millennials, and adjusting to the C-suite’s ever changing needs as well as disruptions that face our audit plan. This panel hosted by the Women in Leadership Committee will include a mix of audit professionals and non-audit professionals that will consider some of the challenges we face in today’s environment across our organizations.

Participants

Regina Piscazzi, Jennifer Fisher, Gladys Griffiths, Heather Haboush, Erwin Shilling

Moderator

Regina Piscazzi

Head of Internal Audit

Apollo Global Management LLC

Regina Piscazzi’s Biography

Panelists

Jennifer Fisher

National Managing Director for Well-being

Deloitte

Jennifer Fisher’s Biography

Gladys Griffiths

US Chief Audit Executive, Head of Capital Markets and Risk Audit

RBC

Gladys Griffiths’s Biography

Heather Haboush

Chief Operating Officer

Citi

Heather Haboush’s Biography

Erwin Shilling

Director of Audit for Securities

Goldman, Sachs & Co.

Erwin Shilling’s Biography

10:20am – 10:40am

10:40am – 11:30am

In this lively session,  a panel of experts in their field will discuss and debate whether financial services organizations are in an environment of  increasing or decreasing risk, by looking…

In this lively session,  a panel of experts in their field will discuss and debate whether financial services organizations are in an environment of  increasing or decreasing risk, by looking at current trends across different aspects of operational risk. Learn what this could mean for financial services internal audit by attending this breakout.

Participants

Howard Shain, Richard Aiello, Kevin Depew, Corey Wells

Moderator

Howard Shain

Senior Director

RSM US LLP

Howard Shain’s Biography

Panelists

Richard Aiello

Vice President, Operational Risk Management

E*TRADE Financial Corporation

Richard Aiello’s Biography

Kevin Depew

Deputy Chief Economist

RSM US LLP

Kevin Depew’s Biography

Corey Wells

Managing Principal

Focal Point Data Risk, LLC

Corey Wells’s Biography

As the use of third-parties increases, such as through the use of Cloud computing, blockchain, affiliate arrangements and other third-party functions, related risk is raised. Financial institutions have little choice,…

As the use of third-parties increases, such as through the use of Cloud computing, blockchain, affiliate arrangements and other third-party functions, related risk is raised. Financial institutions have little choice, as they must remain competitive in the market. The combination of new technologies, disruptive business models and the speed of impact from risk events has raised the level of inherent risk in the use of third-parties, and older vendor risk assessment models and SOC2 assessments are become more sophisticated. In this session, our speaker will walk through the fundamental areas of priority in a regulated third-party management program designed for today’s disruptive environment.

Participants

Jack McNamara, Tom Garrubba, Erin Hill, Chris Poulin, Frank Roppelt

Moderator

Jack McNamara

Deputy Chief Auditor

BNY Mellon

Jack McNamara’s Biography

Panelists

Tom Garrubba

Senior Director and CISO

The Santa Fe Group

Tom Garrubba’s Biography

Erin Hill

Chief Administrative Officer

BNY Mellon

Erin Hill’s Biography

Chris Poulin

Principal Consulting Engineer

BitSight Technologies

Chris Poulin’s Biography

Frank Roppelt

Senior Manager, Security Policy & Vendor Risk

TD Ameritrade

Frank Roppelt’s Biography

11:30am – 12:20pm

Participants

Kevin Kajiwara, Jonathan Shames

Speakers

Kevin Kajiwara

Co-President

Teneo Intelligence

Kevin Kajiwara’s Biography

Jonathan Shames

Geostrategic Business Group Leader and Global Client Service Partner, Private Equity

EY

Jonathan Shames’s Biography

12:20pm – 1:30pm

Sponsored by KPMG LLP

Sponsored by KPMG LLP

1:30pm – 2:20pm

Certainly there are a small number of bad actors out there that will play out schemes given the opportunity and enough motivation – but how do organizations mitigate the risk…

Certainly there are a small number of bad actors out there that will play out schemes given the opportunity and enough motivation – but how do organizations mitigate the risk of misconduct from Sr. Management through to each employee? What new behaviors and accountability frameworks are emerging in today’s disruptive and innovative culture, that indicate risky conduct? This session explores what is changing in conduct and organizational behavior that may lead to unwanted conduct that could place our firms [the organization] into serious negative public scrutiny.

Participants

Laura Gellman, Patrick Simonnet

Speakers

Laura Gellman

Senior Vice President, Compliance Manager

Wells Fargo

Laura Gellman’s Biography

Patrick Simonnet

Global Head of Audit for Market Behavior & Conduct

Credit Suisse

Patrick Simonnet’s Biography

This session will focus on emerging risk and recent regulatory pronouncements impacting financial services. The discussion will focus on BSA, OFAC and other AML related areas as well as key…

This session will focus on emerging risk and recent regulatory pronouncements impacting financial services. The discussion will focus on BSA, OFAC and other AML related areas as well as key Cybersecurity and Technology disruptions.

Participants

Gabrielle Bass, Michael Paliseno, David Roath, Michael Rosenberg

Moderator

Gabrielle Bass

Sales and Marketing

Accume Partners

Gabrielle Bass’s Biography

Panelists

Michael Paliseno

Director of IT Audit

Guggenheim Partners

Michael Paliseno’s Biography

David Roath

Chief Executive Officer

Accume Partners

David Roath’s Biography

Michael Rosenberg

Executive Director, Risk & Regulatory Advisory Services

Accume Partners

Michael Rosenberg’s Biography

2:20pm – 2:40pm

Networking Break

2:40pm – 3:10pm

The presentation will outline how new enabling technology will transform the role of Internal Audit and help realize the aspirational vision of an insightful, proactive and future focused function.

The presentation will outline how new enabling technology will transform the role of Internal Audit and help realize the aspirational vision of an insightful, proactive and future focused function.

Participants

Stephen Mills

Speaker

3:10pm – 4:00pm

This panel of Chief Audit Executives (CAE’s) from leading Financial Services Industry Firms will discuss, among other things, the current practices in addressing the topic of managing risk in a…

This panel of Chief Audit Executives (CAE’s) from leading Financial Services Industry Firms will discuss, among other things, the current practices in addressing the topic of managing risk in a disruptive environment. This will include updates of its impact on the Internal Audit Function and the role Internal Audit can be expected to play in response to emerging economic and technological risks.

Participants

Eric Sutphin, Denise DeMaio, Mitch Mantua, Kevin Murray

Moderator

Eric Sutphin

Partner

KPMG LLP

Eric Sutphin’s Biography

Panelists

Denise DeMaio

Chief Audit Executive

MUFG Union Bank, N.A.

Denise DeMaio’s Biography

Mitch Mantua

Executive Vice President, CAE Internal Audit

Charles Schwab & Co.

Mitch Mantua’s Biography

Kevin Murray

Managing Director

UBS AG

Kevin Murray’s Biography

5:30pm – 7:00pm

Sponsored by PwC

Sponsored by PwC

8:15am – 9:00am

Networking Breakfast

9:00am – 2:05pm

General Session Audio Visual Sponsored by EY

General Session Audio Visual Sponsored by EY

9:00am – 9:05am

Participants

Bruce Goldberg

Speaker

Bruce Goldberg

Managing Director, Deloitte Risk and Financial Advisory

Deloitte & Touche LLP

Bruce Goldberg’s Biography

9:05am – 10:05am

In this lecture, noted security expert Tom Patterson leverages his decades fighting cyber criminals and foreign spies to take us on an insider’s tour through today’s cyber threats against the…

In this lecture, noted security expert Tom Patterson leverages his decades fighting cyber criminals and foreign spies to take us on an insider’s tour through today’s cyber threats against the financial industry, giving a face to our enemies, and laying bare their sources and methods. In this highly interactive session, Tom tells inside stories of current real world attacks you’ve read about, dispels myth’s and misperceptions, and encourages active discussions on how, why and what’s happening, and who is really behind it all. Armed with this information, Tom then illuminates both mistakes and successes of your peers, and highlights three specific keys to defense in this time of highly disruptive cyber attacks that we work in.

Learning Objectives:

  • Understand how today’s threats require new thinking to defend.
  • Learn from other’s mistakes, and avoid their own.
  • Become security evangelists armed with persuasive stories for their own organizations

Participants

Tom Patterson

Speaker

Tom Patterson

Author

Mapping Security: The Corporate Security Sourcebook for Today's Global Economy

Tom Patterson’s Biography

10:05am – 11:05am

How are financial institutions sharing risk perspectives, data, and harmonizing points of view in today’s disruptive and fast moving environment. Each ‘Line of Defense’ (“LOD”) has its own mission, and…

How are financial institutions sharing risk perspectives, data, and harmonizing points of view in today’s disruptive and fast moving environment. Each ‘Line of Defense’ (“LOD”) has its own mission, and is transforming / modernizing their processes to meet needs for more powerful risk insights – It is well understood many of the same data points used in one LOD are in demand by another LOD, but applied differently. The Board also demands more harmonized risk themes to understand how it impacts business objectives and risk appetite. The challenge is to fit into an organizational risk framework which is also transforming while also reducing the cost of risk management and compliance functions.

Hear from our panelists, representing OpRisk, Compliance, Third-party Risk Management, IT Risk and Corporate Risk and Compliance Systems leaders discuss real life progress on their journey, and how each collaborates and applies technology to extract more robust actionable insights in their organizations.

Participants

A. Michael Smith, Julian Fry, James Karayanis

Moderator

A. Michael Smith

Partner, US Internal Technology Audit Services Leader for Financial Services

PwC

A. Michael Smith’s Biography

Panelists

Julian Fry

Managing Director, Head of Operational Risk Oversight – Combined US Operations

UBS AG

Julian Fry’s Biography

James Karayanis

Chief Compliance Officer

E*TRADE Financial Corporation

James Karayanis’s Biography

11:05am – 11:25am

11:25am – 12:15pm

Internal audit functions must evolve and modernize to stay relevant. Innovative internal audit functions must constantly re-evaluate the People, Processes, and Technology being leveraged to anticipate and evaluate risk while…

Internal audit functions must evolve and modernize to stay relevant. Innovative internal audit functions must constantly re-evaluate the People, Processes, and Technology being leveraged to anticipate and evaluate risk while adding value to the business. The Modernizing IA Panel will share their successful experiences building and implementing these innovative practices, including workforce development and employee engagement, delivery models, and using automation.

Learning Objectives:

  • Recognize the need to modernize their Internal Audit functions, and gain an understanding of the benefits of innovation and what it takes to get there
  • Understand the changing landscape of the industry and internal audit and what considerations (i.e., training, organizational structure) IA functions will need to acknowledge to strengthen its skill set and increase its impact and influence within the organization
  • Challenge existing processes by examining ways to streamline and simplify the IA process to increase efficiency focusing on agility and innovation
  • Effectively leverage automation (Robotics/RPA, analytics and AI) tools and technologies throughout the audit lifecycle to reshape internal audit and its impact

Participants

Michael Schor, Steve Pollick, Crystal D. Rilee, Kevin Thalinger

Moderator

Michael Schor

Partner

Deloitte

Michael Schor’s Biography

Panelists

Steve Pollick

Senior Vice President, Audit Director - Enterprise Risk Management

Bank of America

Steve Pollick’s Biography

Crystal D. Rilee

Senior Vice President, Audit Director - Training, Branding & Recognition

Bank of America

Crystal D. Rilee’s Biography

Kevin Thalinger

Senior Vice President, Audit Director - Process Innovation

Bank of America

Kevin Thalinger’s Biography

12:15pm – 1:15pm

Sponsored by Protiviti Inc.

Sponsored by Protiviti Inc.

1:15pm – 2:05pm

Participants

Michael Rufino, Dennis Ryan

Panelists

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

Dennis Ryan

Head of Operational Risk Oversight Department, Financial Institutions Supervisions Group

Federal Reserve Bank of New York

Dennis Ryan’s Biography

2:05pm – 2:55pm

Key topics include the following: Effective and efficient internal audit through approaches such as Agile Internal Audit and the use of subject matter resources Effective and efficient internal controls through…

Key topics include the following:

  • Effective and efficient internal audit through approaches such as Agile Internal Audit and the use of subject matter resources
  • Effective and efficient internal controls through approaches such as testing reliance and controls transformation/forward looking controls for the organization

Participants

Dan Costa, Michael Gandara, Edward Kirkorian, Chad Levant

Moderator

Dan Costa

Principal, IT Risk Assurance

EY

Dan Costa’s Biography

Panelists

Michael Gandara

Chief Auditor - Global Technology

JPMorgan Chase & Co.

Michael Gandara’s Biography

Edward Kirkorian

Managing Director, Audit Technology

BNY Mellon

Edward Kirkorian’s Biography

Chad Levant

Co-Head of Americas Technology Audit and Global Director of Audit

Goldman, Sachs & Co.

Chad Levant’s Biography

A forward-looking audit function should provide insight, oversight and foresight around an organization’s current and future risks and controls. Cutting-edge technologies, data analytics and transformative audit approaches and methodologies enable and…

A forward-looking audit function should provide insight, oversight and foresight around an organization’s current and future risks and controls. Cutting-edge technologies, data analytics and transformative audit approaches and methodologies enable and accelerate how internal audit functions operate – now and for the future.

Join Protiviti’s Managing Director Michael Thor for an interactive panel discussion with audit executives who are shaping the next generation of internal audit in their organizations through:

  • Improving assurance by increasing the focus on key risks
  • Making processes more efficient through the use of advanced technologies (including robotic process automation)
  • Providing more valuable insights on emerging risks

Participants

Michael Thor, Michael Bidun, Arslan Khan, Vincent R. Pinelli

Moderator

Michael Thor

Managing Director

Protiviti

Michael Thor’s Biography

Panelists

Michael Bidun

Executive Director

Morgan Stanley

Michael Bidun’s Biography

Arslan Khan

Senior Vice President, Head of Analytics

State Street Corporation

Arslan Khan’s Biography

Vincent R. Pinelli

Managing Director, Deputy Chief Audit Executive for Internal Audit for the Americas (IAA)

MUFG Union Bank, N.A.

Vincent R. Pinelli’s Biography

2:55pm – 3:15pm

Networking Break

3:15pm – 4:05pm

This interactive roundtable discussion will examine the Risk perspective of some of the focus topics being presented at this year’s conference such as Geopolitical Disruption, Blockchain, AI, Robotics and Cyber…

This interactive roundtable discussion will examine the Risk perspective of some of the focus topics being presented at this year’s conference such as Geopolitical Disruption, Blockchain, AI, Robotics and Cyber Threats.

Participants

Richard Aiello, Michael Beasley, P.J. Warwick

Moderator

Richard Aiello

Vice President, Operational Risk Management

E*TRADE Financial Corporation

Richard Aiello’s Biography

Panelists

Michael Beasley

Director, IT Risk Management

E*TRADE Financial Corporation

Michael Beasley’s Biography

P.J. Warwick

Partner, Risk & Compliance Advisory Services

CrossCountry Consulting

P.J. Warwick’s Biography

This session will provide an overview of cybersecurity and privacy risks to financial services entities under a changing regulatory environment, with a focus on litigation and reputational issues.

This session will provide an overview of cybersecurity and privacy risks to financial services entities under a changing regulatory environment, with a focus on litigation and reputational issues.

Participants

Alan R. Friedman, Samuel B. Shepson

Speakers

Alan R. Friedman

Partner

Kramer Levin

Alan R. Friedman’s Biography

Samuel B. Shepson

Associate

Kramer Levin

Samuel B. Shepson’s Biography

6:00pm – 9:00pm

Nashville Underground delivers an intimate, authentic Nashville experience where you can Drink, Taste, and Hear Nashville. The 40,000-square foot live music venue, restaurant, bar, and event space, owned by…

Nashville Underground delivers an intimate, authentic Nashville experience where you can Drink, Taste, and Hear Nashville. The 40,000-square foot live music venue, restaurant, bar, and event space, owned by brothers Joey DeGraw & Gavin DeGraw, showcases Nashville’s world-famous music, cuisine, and spirits.

Sponsored by Deloitte

Location

Nashville Underground

8:15am – 8:55am

Networking Breakfast

8:55am – 11:00am

General Session Audio Visual Sponsored by EY

General Session Audio Visual Sponsored by EY

8:55am – 9:00am

Participants

Kristen Gantt

Speaker

Kristen Gantt

GRC Leader - Regulatory & OpsRisk Advisory

Deloitte

Kristen Gantt’s Biography

9:00am – 10:00am

A.B. Stoddard offers a nonpartisan perspective of the political landscape of the day and our nation’s upcoming elections. Frequently meeting with sources and politicians of all stripes, Stoddard has her…

A.B. Stoddard offers a nonpartisan perspective of the political landscape of the day and our nation’s upcoming elections. Frequently meeting with sources and politicians of all stripes, Stoddard has her finger on the pulse of Washington, DC, as she offers detailed and smart political and electoral analysis. In a talk as up-to-date as the day’s headlines, she covers the five biggest stories in the news, the most up-to-date happenings between Congress and the White House, ongoing budget battles, and the electoral prospects for the two parties.

Participants

A.B. Stoddard

Speaker

A.B. Stoddard

Associate Editor and Columnist

RealClearPolitics

A.B. Stoddard’s Biography

10:00am – 11:00am

This panel discussion will address emerging and viable cybersecurity threats within financial services and what is needed in addressing such threats. Panelists will review emerging cyber threats impacting financial services,…

This panel discussion will address emerging and viable cybersecurity threats within financial services and what is needed in addressing such threats. Panelists will review emerging cyber threats impacting financial services, recent publicized events, related control defects and lessons learned. Additional topics considered will include legal aspects, regulatory trends, disclosure requirements and internal interactions with the board of directors and the audit committee. Lastly, audit and risk management practices will also be included as part of the dialog.

Participants

Annemarie Giblin, Esq., Maria Filipakis, Jeff Lunglhofer, Dr. Phyllis A. Schneck

Moderator

Annemarie Giblin, Esq.

Senior Counsel - Cyber Liability Attorney, Global Legal

Chubb

Annemarie Giblin, Esq.’s Biography

Panelists

Maria Filipakis

President

Filipakis Consulting LLC

Maria Filipakis’s Biography

Jeff Lunglhofer

Managing Director, CISO

BNY Mellon

Jeff Lunglhofer’s Biography

Dr. Phyllis A. Schneck

Managing Director and Global Leader of Cyber Solutions

Promontory, an IBM Company

Dr. Phyllis A. Schneck’s Biography

11:00am – 11:10am

Networking Break

11:10am – 12:00pm

This roundtable discussion will focus on hot topics faced by Internal Auditors and their departments. Topics to be discussed will consider for example: managing risk in a disruptive environment;  use…

This roundtable discussion will focus on hot topics faced by Internal Auditors and their departments. Topics to be discussed will consider for example: managing risk in a disruptive environment;  use of analytics/AI and robotics; the relationship with other control functions (second line of defense); managing regulatory expectations; and staff development. This will be an interactive session led by experienced internal auditors from leading Financial Services Industry Firms with the participants encouraged to bring additional topics with them for discussion and to provide their perspective on the topics discussed.

Participants

Martin Breheny, Mitch Mantua

Moderators

Martin Breheny

Managing Director, Internal Audit

Guggenheim Partners, LLC

Martin Breheny’s Biography

Mitch Mantua

Executive Vice President, CAE Internal Audit

Charles Schwab & Co.

Mitch Mantua’s Biography

Current challenges within IT Audit and IT Risk Management will be discussed, along with how the SLOD and TLOD engage and coordinate with each other.

Current challenges within IT Audit and IT Risk Management will be discussed, along with how the SLOD and TLOD engage and coordinate with each other.

Participants

Michael Beasley, Kevin Li

Moderators

Michael Beasley

Director, IT Risk Management

E*TRADE Financial Corporation

Michael Beasley’s Biography

Kevin Li

Principal, Head of IT Audit

Apollo Global Management, LLC

Kevin Li’s Biography

Risk Management Framework Regulatory forces and impact to audit practices Technology within the Private Equity audit service model

  • Risk Management Framework
  • Regulatory forces and impact to audit practices
  • Technology within the Private Equity audit service model

Participants

Daniel Mutzig, Brian Wieber

Moderators

Daniel Mutzig

Managing Director and Chief Audit Executive

The Carlyle Group

Daniel Mutzig’s Biography

Brian Wieber

Chief Audit Executive, Internal Audit

Kohlberg Kravis Roberts & Co. L.P.

Brian Wieber’s Biography

Venue

Sheraton Grand Nashville Downtown

623 Union Street
Nashville, TN 37219

The Sheraton Grand is in the heart of the city. Located just one block walk from the Tennessee State Museum or State Capitol, a 15-minute walk from the Country Music Hall of Fame, and with the Nashville International Airport nine miles east, the hotel offers a dynamic conference experience in a superb downtown location.

Picture of venue

Hotel Accommodations

SIFMA reserved a block of rooms at the Sheraton Grand Nashville Downtown.

Rates will start at $269 per night and are quoted exclusive of applicable room tax, applicable service/hotel-specific fees, or other miscellaneous taxes.

Please note that the group rates are good through Sunday, October 14th but rooms are limited and only available on a first-come, first-served basis–they may sell out early! Once the block is sold out, the hotel’s market price applies regardless of the date booking.

Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.

 

Book a Room

Related Resources

Accreditation

CPE

Eligible for up to 14 CPE Credits
Participants will learn the challenges of managing risk in a disruptive environment and share perspectives on how firms are addressing them.

Fields of Study:
5 credits IT– Technical
3 credits Audit– Technical
6 credits Management Services (Risk)

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

For more information regarding refund, complaint, and/or program cancellation policies, please contact SIFMA at [email protected].

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 individuals courses for CPE credit. Complaints regarding registered sponsors may be substitutes to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390.

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.

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.