SIFMA Annual Meeting

The Capital Markets Conference

Date

October 01 - October 02, 2018

Location

Washington, DC

Hosted by

SIFMA

On-Site

  • Member $1545
  • Non-Member $1950
  • Regulator $445

Overview

Each fall, SIFMA’s Annual Meeting gathers for candid one-on-one conversations and in-depth breakout sessions on the future of our capital markets. Register today to join us on October 1-2, 2018 at the Mandarin Oriental, Washington DC for expert insights and unparalleled networking with senior executives from SIFMA member firms and the foremost policy makers, regulators and financial market experts.

Meet Our Featured Speakers

Program and times times subject to change; please check back for updates.

 

In-Depth Breakout Sessions

Mix and match eight breakout sessions from three tracks to plan your personalized agenda:

      

 

Program and all times times subject to change. Please check back for updates.

Who Should Attend 

      • Chief Executive Officers
      • Chief Financial Officers
      • Chief Information Officer
      • Chief Operating Officers
      • General Counsels
      • Chief Compliance Officers
      • Heads of Business Units
      • Heads of Strategy and Risk
      • Heads of Regulatory and Government Affairs

2017 Annual Meeting Demographics

Testimonials from Past Delegates

“I attend SIFMA’s annual meeting for three reasons: the platform, the people, and the program.”

“I constantly have to balance where we take our people and where we spend our money, and the reason why I’m in DC is the agenda here. The agenda is spot on.”

“You attract the best speakers in public policy affecting capital markets… But, equally I enjoy coming because of the opportunity to talk with so many people.”

“It’s great to hear from people what they’re seeing in the trenches – in New York but also in all the small firms throughout the country.”

“Everybody’s here. It’s a great place to see people that you work with, you used to work with, that maybe you want to work with.”

 2017 Annual Meeting - Attendee Experience

Companies in Attendance

More than 100 firms were represented at last year’s event, including:

    • AllianceBernstein L.P.
    • Ameriprise Financial, Inc.
    • Bank of America Merrill Lynch
    • Barclays
    • BlackRock
    • Bloomberg
    • BNP Paribas
    • BNY Mellon
    • Charles Schwab & Co., Inc.
    • Citadel LLC
    • Citigroup Inc.
    • Credit Suisse Group AG
    • Deutsche Bank AG
    • Edward Jones
    • Fidelity
    • Goldman Sachs & Co. LLC
    • HSBC Bank USA, N.A.
    • Invesco Ltd.
    • Janney Montgomery Scott LLC
    • JPMorgan Chase & Co.
    • Legg Mason Global Asset Management
    • LPL Financial
    • Morgan Stanley & Co. LLC
    • Neuberger Berman Group LLC
    • Nomura
    • Northern Trust
    • Piper Jaffray & Co.
    • Rabobank Group
    • Raymond James Financial, Inc.
    • Royal Bank of Canada (RBC)
    • Russell Investments
    • Societe Generale
    • State Street Corporation
    • Stephens Inc.
    • Stifel, Nicolaus & Co., Inc.
    • T. Rowe Price Associates, Inc.
    • TD Ameritrade, Inc.
    • UBS AG
    • Vanguard
    • Wellington Management Company

Program

3:00pm – 6:15pm

Registration Desk Hours

3:30pm – 4:45pm

In the past ten years, U.S. equity markets have grown increasingly complex. With more than a dozen exchanges and an array of off-exchange platforms, the options for stock order execution…

In the past ten years, U.S. equity markets have grown increasingly complex. With more than a dozen exchanges and an array of off-exchange platforms, the options for stock order execution have proliferated. Might changes to equity market structure – how and where stock trades are executed – help more companies go and stay public?

Participants

Bob Pisani, Douglas Cifu, Kevin Cronin, Sara Furber, Brett Redfearn

Moderator

Bob Pisani

"On-Air" Stocks Editor

CNBC

Bob Pisani’s Biography

Panelists

Douglas Cifu

Chief Executive Officer

Virtu Financial

Douglas Cifu’s Biography

Kevin Cronin

Global Head of Trading

Invesco

Kevin Cronin’s Biography

Sara Furber

Chief Financial Officer

IEX

Sara Furber’s Biography

Brett Redfearn

Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Brett Redfearn’s Biography

From AI to RPA, from blockchain to DLT, here’s how firms are taking proofs of concept from the lab and deploying them into the heart of their businesses.

From AI to RPA, from blockchain to DLT, here’s how firms are taking proofs of concept from the lab and deploying them into the heart of their businesses.

Participants

Rich Daly, Daniel Gorfine, Beth Knickerbocker, Sanjiv Mirchandani, Vivekanand Ramgopal, Andres Wolberg-Stok

Moderator

Rich Daly

Director and Chief Executive Officer

Broadridge Financial Solutions, Inc.

Rich Daly’s Biography

Panelists

Daniel Gorfine

Director of LabCFTC and Chief Innovation Officer

U.S. Commodity Futures Trading Commission (CFTC)

Daniel Gorfine’s Biography

Sanjiv Mirchandani

President of Clearing and Custody Solutions

Fidelity

Sanjiv Mirchandani’s Biography

Vivekanand Ramgopal

Vice President and Co-Head, TCS Financial Solutions

Tata Consultancy Services

Vivekanand Ramgopal’s Biography

Andres Wolberg-Stok

Global Head of Fintech Policy for Global Consumer Banking

Citi

Andres Wolberg-Stok’s Biography

4:45pm – 5:00pm

Networking Break

5:00pm – 5:05pm

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

5:05pm – 5:25pm

$200 trillion of financial contracts and securities are tied to LIBOR and that matters to everyone – small businesses, corporations, banks, dealers and investors. Here’s how the Alternative Reference…

$200 trillion of financial contracts and securities are tied to LIBOR and that matters to everyone – small businesses, corporations, banks, dealers and investors. Here’s how the Alternative Reference Rates Committee (ARRC) of the Federal Reserve is leading the U.S. transition from LIBOR to more robust alternative reference rates.

 

Participants

Sandra O’Connor, David Bowman

Moderator

Sandra O’Connor

Managing Director, Chief Regulatory Affairs Officer

JPMorgan Chase & Co.

Sandra O’Connor’s Biography

Speaker

David Bowman

Special Adviser to the Board

Federal Reserve Board of Governors

David Bowman’s Biography

5:25pm – 5:55pm

On the "next act" for cross border financial regulation

On the “next act” for cross border financial regulation

Participants

J. Christopher Giancarlo

5:55pm – 6:30pm

November 6 is around the corner: who will control the Senate and the House? With 470 Congressional seats in play and a rapidly changing…

November 6 is around the corner: who will control the Senate and the House? With 470 Congressional seats in play and a rapidly changing political dynamic, the landscape is anything but certain. 

Participants

Bob Cusack, David M. Drucker, Charlie Mahtesian, Josh Kraushaar

Panelists

Bob Cusack

Editor in Chief

The Hill

Bob Cusack’s Biography

David M. Drucker

Senior Political Correspondent

Washington Examiner

David M. Drucker’s Biography

Charlie Mahtesian

Senior Politics Editor

Politico

Charlie Mahtesian’s Biography

Josh Kraushaar

Political Editor

National Journal

Josh Kraushaar’s Biography

6:45pm – 8:45pm

7:30am – 5:00pm

Registration Desk Hours

7:45am – 8:30am

Breakfast

8:15am – 8:35am

A fireside chat with the Chair and Chair-Elect of SIFMA’s Board of Directors

A fireside chat with the Chair and Chair-Elect of SIFMA’s Board of Directors

Participants

Kenneth E. Bentsen, Jr., Lisa Kidd Hunt, James R. Allen

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speakers

Lisa Kidd Hunt

Executive Vice President, Business Initiatives

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

James R. Allen

Chairman & CEO

Hilliard Lyons

James R. Allen’s Biography

8:35am – 9:05am

On accomplishing a dual mandate of investor protection and market integrity

On accomplishing a dual mandate of investor protection and market integrity

Participants

William C. Caccamise, Robert W. Cook

Moderator

William C. Caccamise

General Counsel and Managing Director, Global Banking, Global Markets, and International

Bank of America Merrill Lynch

William C. Caccamise’s Biography

Speaker

Robert W. Cook

President and Chief Executive Officer

FINRA

Robert W. Cook’s Biography

9:05am – 9:25am

The Treasury Markets Practice Group (TMPG) promotes sound market practices that support the integrity and efficiency of the Treasury, agency debt and agency MBS markets. From clearance and settlement to fails…

The Treasury Markets Practice Group (TMPG) promotes sound market practices that support the integrity and efficiency of the Treasury, agency debt and agency MBS markets. From clearance and settlement to fails charges, find out the latest best practices.

Participants

Sandra O’Connor, Thomas Wipf, Gerald D. Pucci, Jr.

Moderator

Sandra O’Connor

Managing Director, Chief Regulatory Affairs Officer

JPMorgan Chase & Co.

Sandra O’Connor’s Biography

Speakers

Thomas Wipf

Vice Chairman of Institutional Securities

Morgan Stanley

Chair

Treasury Market Practices Group

Thomas Wipf’s Biography

Gerald D. Pucci, Jr.

Managing Director, Head of Global Low Touch Fixed Income Trading and Global Head of Repo

BlackRock

Gerald D. Pucci, Jr.’s Biography

9:25am – 9:50am

9:50am – 10:50am

If you think Brexit is just about the relationship between the U.K. and the European Union, think again. Negotiations are at an important juncture with huge implications for the capital…

If you think Brexit is just about the relationship between the U.K. and the European Union, think again. Negotiations are at an important juncture with huge implications for the capital markets. With less than 180 days until the U.K. leaves the EU and just two years until the transition period ends in 2020, how will third party relationships – including those between the U.S. and the U.K. and E.U. – be transformed?

Participants

Peter Beardshaw, Alice Campbell, Jacob Funk Kirkegaard, Damian Nussbaum

Moderator

Peter Beardshaw

Managing Director, Finance & Risk Practice

Accenture

Peter Beardshaw’s Biography

Panelists

Alice Campbell

Economic Counsellor

British Embassy

Alice Campbell’s Biography

Jacob Funk Kirkegaard

Senior Advisor

Rhodium Group

Jacob Funk Kirkegaard’s Biography

Damian Nussbaum

Director of Economic Development

City of London

Damian Nussbaum’s Biography

Transformational change in fixed income market structure is underway amidst a divergence in global central bank monetary policy and historically low volatility. Alongside an increased focus on regulation and transparency,…

Transformational change in fixed income market structure is underway amidst a divergence in global central bank monetary policy and historically low volatility. Alongside an increased focus on regulation and transparency, market-led investments in client connectivity, electronic trading and automation, clearing and settlement infrastructure, and data management are changing the ways we service clients, interact with counterparties and manage risk. Find out how this evolution impacts competitive positioning, liquidity and the vibrancy of our markets.

Participants

Richard McVey, Justin Gmelich, Stephen Laipply, Kristin Maher, Glenn Taitz, Sonali Das Theisen

Moderator

Richard McVey

Richard M. McVey

MarketAxess

Chairman and Chief Executive Officer

Richard McVey’s Biography

Panelists

Justin Gmelich

Chief Operating Officer, FICC

Goldman Sachs & Co.

Justin Gmelich’s Biography

Stephen Laipply

Managing Director, Head of U.S. iShares Fixed Income Strategy

BlackRock, iShares

Stephen Laipply’s Biography

Kristin Maher

Managing Director, Head of Fixed Income Services

Wells Fargo Advisors, LLC

Kristin Maher’s Biography

Glenn Taitz

Global Head of Fixed Income Trading

Invesco

Glenn Taitz’s Biography

Sonali Das Theisen

Managing Director - Head of Fixed Income Market Structure

Bank of America Merrill Lynch

Sonali Das Theisen’s Biography

This is the discussion our industry, as a microcosm of society, needs to have: how can we promote diversity, inclusion and parity to shape the future of our workforce?

This is the discussion our industry, as a microcosm of society, needs to have: how can we promote diversity, inclusion and parity to shape the future of our workforce?

Participants

Neil Dhar, Jeffrey J. Brown, Vanessa Foster Cooksey, Stephen D. Steinour

Moderator

Neil Dhar

Partner, Head of Financial Services

PwC

Neil Dhar’s Biography

Panelists

Jeffrey J. Brown

Chief Executive Officer

Ally Financial

Jeffrey J. Brown’s Biography

Vanessa Foster Cooksey

Senior Vice President, Community Relations

Wells Fargo & Company

Vanessa Foster Cooksey’s Biography

Stephen D. Steinour

Chairman, President and Chief Executive Officer

Huntington Bancshares Incorporated

Stephen D. Steinour’s Biography

11:00am – 11:40am

On the state of the retail investor, our industry and the future of investing

On the state of the retail investor, our industry and the future of investing

Participants

Lisa Kidd Hunt, Charles R. Schwab

Moderator

Lisa Kidd Hunt

Executive Vice President, Business Initiatives

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

Speaker

11:40am – 12:10pm

On the Administration's economic policies

On the Administration’s economic policies

Participants

Lawrence A. Kudlow

Speaker

Lawrence A. Kudlow

Assistant to the President for Economic Policy and Director of the National Economic Council

Lawrence A. Kudlow’s Biography

12:10pm – 12:35pm

Sponsored by FICO

Sponsored by FICO

12:35pm – 1:20pm

On the evolving role technology holds in financial services

On the evolving role technology holds in financial services

Participants

Penny Crosman, Catherine P. Bessant

Moderator

Penny Crosman

Editor at Large

American Banker

Penny Crosman’s Biography

Speaker

Catherine P. Bessant

Chief Operations and Technology Officer

Bank of America Merrill Lynch

Catherine P. Bessant’s Biography

1:20pm – 2:00pm

Fee compression, a move to passive investing, dramatic regulatory change: the asset management industry is being upended. How are asset managers embracing technology in…

Fee compression, a move to passive investing, dramatic regulatory change: the asset management industry is being upended. How are asset managers embracing technology in their strategy to distinguish themselves from the pack? 

Participants

Alix Steel, Emmanuel Roman, Michelle Seitz, Christopher Willcox

Moderator

Alix Steel

Co-Anchor of Bloomberg Daybreak Americas

Bloomberg Television

Alix Steel’s Biography

Panelists

Emmanuel Roman

Chief Executive Officer

PIMCO

Emmanuel Roman’s Biography

Michelle Seitz

Chairman and Chief Executive Officer

Russell Investments

Michelle Seitz’s Biography

Christopher Willcox

CEO of Asset Management

JPMorgan Asset Management

Christopher Willcox’s Biography

2:10pm – 3:15pm

Global regulators have called on the market to develop alternatives to LIBOR, the long-standing interbank lending rate, by implementing alternative risk-free rates (RFRs) supported by larger, observable markets. Don’t let…

Global regulators have called on the market to develop alternatives to LIBOR, the long-standing interbank lending rate, by implementing alternative risk-free rates (RFRs) supported by larger, observable markets. Don’t let the rug get pulled out from under you: analyze the key challenges in transitioning one of the most widely-embedded aspects of financial market contracts and practices, impacting loans, floating rate notes, derivatives and more.

Participants

Michael Sheptin, Nadine Bates, Ann Battle, Jason Manske, Christian A. Rasmussen

Moderator

Panelists

Nadine Bates

Senior Vice President and Treasurer

Fannie Mae

Nadine Bates’s Biography

Ann Battle

Assistant General Counsel

ISDA

Ann Battle’s Biography

Jason Manske

Senior Managing Director and Head of Global Derivatives and Liquid Markets

MetLife

Jason Manske’s Biography

Christian A. Rasmussen

Managing Director, Treasury ALM

UBS Securities LLC

Christian A. Rasmussen’s Biography

As the face of the individual investor evolves, so too does the opportunity to create investment advice tailored to their diverse needs across a variety of life stages. How can…

As the face of the individual investor evolves, so too does the opportunity to create investment advice tailored to their diverse needs across a variety of life stages. How can private wealth managers and asset managers partner to create a new generation of customized investment solutions?

Participants

Jim Langham, Sandy Bolton, Jaime Magyera, Pete Thatch, Scott Thoma

Moderator

Jim Langham

Managing Director, Mandates Investment Solutions Americas

UBS

Jim Langham’s Biography

Panelists

Sandy Bolton

Managing Director, Head of Investment Products - Investment Solutions Group

Bank of America Merrill Lynch

Sandy Bolton’s Biography

Jaime Magyera

Managing Director, National Accounts - Head of Wirehouse Channel

BlackRock

Jaime Magyera’s Biography

Pete Thatch

Senior Relationship Manager

Capital Group

Pete Thatch’s Biography

Scott Thoma

Principal, Research - Strategy

Edward Jones

Scott Thoma’s Biography

Personal financial data is an increasingly valuable asset in today’s global economy. Improving data quality to enhance the customer experience is critical to business success but protecting data from improper…

Personal financial data is an increasingly valuable asset in today’s global economy. Improving data quality to enhance the customer experience is critical to business success but protecting data from improper use is paramount. Find out best practices to collect, store and use data while also safeguarding it from internal and external threats in an evolving regulatory environment.

Participants

Mark Steinhoff, Leigh Feldman, Jodi Pinedo, Stuart Rubinstein

Moderator

Mark Steinhoff

Managing Director

Deloitte & Touche LLP

Mark Steinhoff’s Biography

Panelists

Leigh Feldman

Managing Director

Promontory

Leigh Feldman’s Biography

Jodi Pinedo

Director & Senior Managing Counsel

BNY Mellon's Pershing

Jodi Pinedo’s Biography

Stuart Rubinstein

President, Fidelity Wealth Technologies

Fidelity Investments

Stuart Rubinstein’s Biography

3:15pm – 3:30pm

Networking Break

3:30pm – 4:30pm

Economics. Politics, Earnings. Investor behavior. Look across disciplines to piece together an outlook for the capital markets. 

Economics. Politics, Earnings. Investor behavior. Look across disciplines to piece together an outlook for the capital markets. 

Participants

Ben White, L. Erika Najarian, Katherine E. Nixon, Jaret Seiberg

Moderator

Ben White

Chief Economic Correspondent

Politico

Ben White’s Biography

Panelists

L. Erika Najarian

Managing Director, Head of North American Banks Equity Research

Bank of America Merrill Lynch

L. Erika Najarian’s Biography

Katherine E. Nixon

Executive Vice President and Chief Investment Officer

Northern Trust

Katherine E. Nixon’s Biography

Jaret Seiberg

Managing Director, Cowen Washington Research Group - Financial Services

Cowen

Jaret Seiberg’s Biography

4:30pm – 5:15pm

In an ever-changing environment, one thing remains certain: ideas need capital to grow.

In an ever-changing environment, one thing remains certain: ideas need capital to grow.

5:15pm – 5:20pm

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Venue

Mandarin Oriental, Washington DC

1330 Maryland Avenue SW
Washington, DC 20024

Prominently placed along the Capital’s revitalized Southwest Waterfront, Mandarin Oriental, Washington DC offers five-star luxury, refreshed guestrooms, and extensive facilities in a serene picturesque setting. Just a short walk from the Nation’s most cherished monuments, the hotel is also close to a number of exciting restaurants and attractions in the new District Wharf neighborhood.

Picture of venue

Hotel Accommodations

SIFMA’s room block at The Mandarin Oriental, Washington DC expired on September 11; the hotel’s market price applies for any booking thereafter. Rooms are limited and available on a first-come, first-served basis — they do sell out early! Please confirm all cancellation policies directly with the hotel when booking your reservation.

Welcome Reception

SIFMA and our Board of Directors invite meeting delegates to a welcome reception at the Smithsonian American Art Museum on the opening night of our 2018 Annual Meeting, The Capital Markets Conference.

Smithsonian American Art Museum (SAAM) 
8th and F Streets, NW
Washington, DC 20004

Smithsonian American Art Museum (SAAM)

Related Resources

Media

Media Inquiries: Contact Katrina Cavalli at 212.313.1181

Media Registration: Contact Emily Reinus at 212.313.1339.

Press 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 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.