Overview

Senior Investor Protection Conference

One Year Later: FINRA Rules 2165 and 4512

Date

February 05, 2019

Location

New York, NY

Overview

FINRA rules 2165 and 4512, which provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms to attempt to collect trusted contact information from all of their clients, took effect February 5, 2018.

SIFMA’s Senior Investor Protection Conference will bring together industry experts and regulators on Tuesday, February 5, in NYC to discuss the impact of these rules one year later. The conference will also explore other new tools in the marketplace – and what’s in the works – to defeat elder financial exploitation.

The conference program will include the latest research, recent legal and legislative developments, and on-going strategies to help protect senior investors.

Program

8:00am – 2:45pm

Registration

8:00am – 8:30am

Continental Breakfast

8:30am – 8:40am

Participants

Lisa Bleier

Speaker

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

8:40am – 8:55am

Participants

Gerri Walsh

Speaker

Gerri Walsh

President, FINRA Foundation and Senior Vice President, Investor Education

FINRA

Gerri Walsh’s Biography

8:55am – 10:10am

Panelists will discuss the implementation of Rule 2165, which provides a safe harbor for firms to place a temporary hold on disbursements when senior financial exploitation is suspected.  This discussion…

Panelists will discuss the implementation of Rule 2165, which provides a safe harbor for firms to place a temporary hold on disbursements when senior financial exploitation is suspected.  This discussion will include identifying instances to utilize the hold, as well as actions the firm can take once the hold is in place.

Participants

Lisa Bleier, Ashley Hulting, Ronald Long, James S. Wrona

Moderator

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

Panelists

Ashley Hulting

Counsel, Retail

TD Ameritrade, Inc.

Ashley Hulting’s Biography

Ronald Long

Director of Elder Client

Wells Fargo Advisors

Ronald Long’s Biography

James S. Wrona

Vice President and Associate General Counsel

FINRA

James S. Wrona’s Biography

10:10am – 10:30am

Networking Break

10:30am – 11:45am

Panelists will discuss the implementation of Rule 4512, which requires firms to request information about a “trusted contact” for senior clients as a resource for protecting assets and responding to…

Panelists will discuss the implementation of Rule 4512, which requires firms to request information about a “trusted contact” for senior clients as a resource for protecting assets and responding to suspected financial exploitation.  This discussion will include how to have the conversation with clients, as well as when and how the institution will utilize the contact information.

Participants

Marin E. Gibson, Amanda Demas, Erin Linehan, Aisling Murphy, Jeanette Wingler

Moderator

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Marin E. Gibson’s Biography

Panelists

Amanda Demas

Senior Counsel, Legal, Corporate & Compliance Group

BMO Financial Group

Amanda Demas’s Biography

Erin Linehan

Associate General Counsel, Compliance

Raymond James Financial, Inc.

Erin Linehan’s Biography

Aisling Murphy

Chief Compliance Officer

Vanguard Group

Aisling Murphy’s Biography

Jeanette Wingler

Office of the General Counsel

FINRA

Jeanette Wingler’s Biography

11:45am – 12:00pm

Participants

Diane Gujarati, Julia Nestor

12:00pm – 12:45pm

Networking Lunch

12:45pm – 2:00pm

Panelists will explore what investigations into elder financial exploitation look like - and how they differ - from the perspective of financial firms, adult protective services, and law enforcement.

Panelists will explore what investigations into elder financial exploitation look like – and how they differ – from the perspective of financial firms, adult protective services, and law enforcement.

Participants

Kyle R. Innes, Melissa Hegger Shea, Deborah Holt-Knight, Deena Schwartz, Esq., Karen Webber, CPA, CFE, William Zelenka

Moderator

Kyle R. Innes

Assistant Vice President, State Government Relations and Assistant General Counsel

SIFMA

Kyle R. Innes’s Biography

Panelists

Melissa Hegger Shea

Vice President and Associate General Counsel, Legal

Fidelity Investments

Melissa Hegger Shea’s Biography

Deborah Holt-Knight

Deputy Commissioner

Adult Protective Services

Deborah Holt-Knight’s Biography

Deena Schwartz, Esq.

Brooklyn and the Bronx EMDT Coordinator and the EMDT Civil Legal Consultation Coordinator

NYCEAC

Deena Schwartz, Esq.’s Biography

Karen Webber, CPA, CFE

Forensic Accountant Consultant

Webber CPA, PLLC

Karen Webber, CPA, CFE’s Biography

William Zelenka

Chief, Economic Crime Bureau

Bronx DA’s Office

William Zelenka’s Biography

2:00pm – 2:30pm

A brief look at resources available for firms, including reference databases and training opportunities, to bolster firms’ senior protection initiatives.

A brief look at resources available for firms, including reference databases and training opportunities, to bolster firms’ senior protection initiatives.

Participants

Jilenne Gunther, MSW, JD, Andrew Sidman

Speakers

Jilenne Gunther, MSW, JD

Director of BankSafe

AARP

Jilenne Gunther, MSW, JD’s Biography

Andrew Sidman

Principal, Securities

Bressler, Amery & Ross, P.C.

Andrew Sidman’s Biography

2:30pm – 2:45pm

Participants

Lisa Bleier

Speaker

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

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

CLE Credit

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits.

CLE Credit

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390.

Media Registration
Contact Evan Grogan at 212.313.1134.

Policy
View SIFMA’s official press policy.

Terms and Conditions

Policy
SIFMA reserves the right to remove, bar, or expel any attendee or guest from the conference for disruptive, disrespectful, or possibly illegal conduct, statements, or actions or for any reason which may tarnish the conference, SIFMA, or its members, in SIFMA’s sole discretion. SIFMA shall not refund any money paid for such attendee or guest to attend the conference, or for any travel expenses incurred to attend the conference.

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 Caitlin Sargent 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.