SIFMA Annual Meeting

The Capital Markets Conference

Date

October 23 - October 24, 2017

Location

Washington, DC

Hosted by

SIFMA

Early Bird Rates – Until 9/29/17

  • Member $1345
  • Non-Member $1750
  • Regulator $445

Overview

SIFMA’s Annual Meeting returns to Washington, D.C. this fall for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Join us for expert insights and unparalleled networking with the foremost policymakers, regulators and financial market experts.

Featured Speakers

Programs

3:30pm – 5:30pm

Registration Desk Hours

3:30pm – 3:40pm

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

3:45pm – 4:45pm

Financial service companies and critical infrastructure face an onslaught of cyber attacks. How can the private and public sector work together to effectively defend against urgent threats?

Financial service companies and critical infrastructure face an onslaught of cyber attacks. How can the private and public sector work together to effectively defend against urgent threats?

Participants

Thomas M. Wagner, Robert F. Cullen III, Thomas Ferlazzo, Craig Froelich, Phil Venables

Moderator

Thomas M. Wagner

Managing Director, Financial Services Operations

SIFMA

Thomas M. Wagner’s Biography

Panelists

Robert F. Cullen III

Principal, Internal Audit

Edward Jones

Robert F. Cullen III’s Biography

Thomas Ferlazzo

Senior Vice President, Operational Risk Supervision

Federal Reserve Bank of New York

Thomas Ferlazzo’s Biography

Craig Froelich

Chief Information Security Officer

Bank of America Merrill Lynch

Craig Froelich’s Biography

Phil Venables

Partner and Chief Operational Risk Officer

Goldman Sachs & Co.

Phil Venables’s Biography

4:50pm – 5:30pm

On the outlook for tax reform.

On the outlook for tax reform.

Participants

Congressman Kevin Brady

Speaker

Congressman Kevin Brady

R-TX and Chairman of the House Ways and Means Committee

Congressman Kevin Brady’s Biography

6:30pm – 9:30pm

7:30am – 5:00pm

Registration Desk Hours

7:30am – 8:30am

Breakfast

8:00am – 8:15am

Participants

Timothy C. Scheve, Kenneth E. Bentsen, Jr.

Speakers

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

8:15am – 8:55am

On how the business, investment, economic and technology landscape are affecting the outlook for the industry and the firm’s clients.

On how the business, investment, economic and technology landscape are affecting the outlook for the industry and the firm’s clients.

Participants

Kayla Tausche, David M. Solomon

Moderator

Kayla Tausche

Correspondent

CNBC

Kayla Tausche’s Biography

Speaker

David M. Solomon

President and Co-Chief Operating Officer

Goldman Sachs & Co.

David M. Solomon’s Biography

8:55am – 9:35am

Participants

Abigail P. Johnson

Speaker

Abigail P. Johnson

Chairman and CEO

Fidelity Investments

Abigail P. Johnson’s Biography

9:35am – 10:15am

On the story of American capitalism, its inherent social contract, and the good it can do for society.

On the story of American capitalism, its inherent social contract, and the good it can do for society.

Participants

Warren A. Stephens

Speaker

Warren A. Stephens

Chairman, President and Chief Executive Officer

Stephens Inc.

Warren A. Stephens’s Biography

10:15am – 10:35am

10:35am – 11:50am

The FCA recently published its final report on the asset management sector and announced remedies for its findings. What are their potential impacts on market-based finance?

The FCA recently published its final report on the asset management sector and announced remedies for its findings. What are their potential impacts on market-based finance?

Participants

Robin Wigglesworth, Paul P. Andrews, Barbara Novick, Chester Spatt, Christopher Woolard

Moderator

Robin Wigglesworth

US Markets Editor

Financial Times

Robin Wigglesworth’s Biography

Panelists

Barbara Novick

Vice Chairman

BlackRock

Barbara Novick’s Biography

Chester Spatt

Pamela R. and Kenneth B. Dunn Professor of Finance

Carnegie Mellon’s Tepper School of Business

Distinguished Visiting Professor, Golub Center for Finance and Policy (GCFP)

MIT Sloan School of Management

Chester Spatt’s Biography

Christopher Woolard

Executive Director of Strategy and Competition

Financial Conduct Authority (FCA)

Christopher Woolard’s Biography

Historically, securities regulation has been accomplished through a mutually beneficial combination of government regulation and self-regulation. The line between SRO and government regulator has since blurred. How can the current…

Historically, securities regulation has been accomplished through a mutually beneficial combination of government regulation and self-regulation. The line between SRO and government regulator has since blurred. How can the current SRO model be improved and its benefits of membership be more tangible?

Participants

James A. Tricarico Jr., Robert W. Cook, Lynnette Kelly, Helene McGee, Thomas W. Sexton, III

Moderator

James A. Tricarico Jr.

Chief Legal Officer

Edward Jones

James A. Tricarico Jr.’s Biography

Panelists

Robert W. Cook

President and Chief Executive Officer

FINRA

Robert W. Cook’s Biography

Helene McGee

Deputy Associate Director Office of Compliance Inspections and Examinations (FSIO)

U.S. Securities and Exchange Commission

Helene McGee’s Biography

Thomas W. Sexton, III

President and Chief Executive Officer

National Futures Association (NFA)

Thomas W. Sexton, III’s Biography

The C-suite is a catalyst for meaningful change. Can a pledge to diversity and inclusion address the industry’s enduring challenges and spark adoption of new strategic solutions?

The C-suite is a catalyst for meaningful change. Can a pledge to diversity and inclusion address the industry’s enduring challenges and spark adoption of new strategic solutions?

Participants

Larry E. Thompson, The Honorable Joyce Beatty, Rich Daly, Noé Hinojosa, Jr., Suzanne Shank

Moderator

Larry E. Thompson

Vice Chairman

DTCC

Chairman of the Board

DTCC Deriv/SERV LLC

Larry E. Thompson’s Biography

Panelists

The Honorable Joyce Beatty

D-OH and Member of the House Committee on Financial Services

The Honorable Joyce Beatty’s Biography

Rich Daly

Director and Chief Executive Officer

Broadridge Financial Solutions, Inc.

Rich Daly’s Biography

Noé Hinojosa, Jr.

President & Chief Executive Officer

Estrada Hinojosa & Co., Inc.

Noé Hinojosa, Jr.’s Biography

Suzanne Shank

Chairwoman and Chief Executive Officer (Founding Partner)

Siebert Cisneros Shank & Co., L.L.C.

Suzanne Shank’s Biography

12:00pm – 1:15pm

Networking Luncheon

12:35pm – 1:15pm

On the eight principles which will guide his Chairmanship of the SEC.

On the eight principles which will guide his Chairmanship of the SEC.

Participants

Jay Clayton

1:30pm – 2:45pm

The Treasury Market Practices Group (TMPG) has worked since its formation to develop and promote sound market practices that support the integrity and efficiency of the Treasury,…

The Treasury Market Practices Group (TMPG) has worked since its formation to develop and promote sound market practices that support the integrity and efficiency of the Treasury, agency debt and agency MBS markets. What has transpired in the last ten years, including recent initiatives around information handling and clearing and settlement?

Participants

Thomas Wipf

Panelist

Thomas Wipf

Vice Chairman of Institutional Securities

Morgan Stanley

Chair

Treasury Market Practices Group

Thomas Wipf’s Biography

Businesses are in the midst of adapting to rapidly changing technology and ongoing demographic changes. What critical transformations will help businesses exceed investor expectations?

Businesses are in the midst of adapting to rapidly changing technology and ongoing demographic changes. What critical transformations will help businesses exceed investor expectations?

Participants

Valerie G. Brown, James R. Allen, Thomas M. McDonald, Brand Meyer, Clara Shih

Moderator

Valerie G. Brown

Executive Chairman of the Board

Advisor Group, Inc.

Valerie G. Brown’s Biography

Panelists

James R. Allen

Chairman & CEO

Hilliard Lyons

James R. Allen’s Biography

Thomas M. McDonald

President & CEO

McDonald Partners, LLC

Thomas M. McDonald’s Biography

Brand Meyer

Senior Managing Director

Wells Fargo Advisors, LLC

Brand Meyer’s Biography

Clara Shih

CEO and Founder

Hearsay Systems

Clara Shih’s Biography

FinTech continues to revolutionize the financial industry. As technology firms collaborate with industry operations and technology executives, how might they shape the future of the industry?

FinTech continues to revolutionize the financial industry. As technology firms collaborate with industry operations and technology executives, how might they shape the future of the industry?

Participants

Chris Vickery, Adam Broun, Chris Church, Kim Neuwirth, Satya Pemmaraju

Moderator

Chris Vickery

Managing Director, Chief Operations Officer, Americas

Nomura

Chris Vickery’s Biography

Panelists

Adam Broun

Chief Operating Officer

Kensho

Adam Broun’s Biography

Chris Church

Chief Business Development Officer

Digital Asset

Chris Church’s Biography

Kim Neuwirth

Director of Product Management

Narrative Science

Kim Neuwirth’s Biography

2:45pm – 3:05pm

Networking Break

3:05pm – 4:20pm

What is the outlook for the capital markets and the securities industry? It may just depend on who you ask.

What is the outlook for the capital markets and the securities industry? It may just depend on who you ask.

Participants

Alix Steel, Michael Feroli, Brian Gardner, Anne N. Mathias, Guy Moszkowski

Moderator

Alix Steel

Co-Anchor of Bloomberg Daybreak Americas

Bloomberg Television

Alix Steel’s Biography

Panelists

Michael Feroli

Chief U.S. Economist

J.P. Morgan

Michael Feroli’s Biography

Brian Gardner

Managing Director, Washington Research

Keefe Bruyette & Woods

Brian Gardner’s Biography

Anne N. Mathias

Global Rates & Foreign Currency Strategist

Vanguard

Anne N. Mathias’s Biography

Guy Moszkowski

Managing Partner, Director of Research

Autonomous Research

Guy Moszkowski’s Biography

4:20pm – 5:00pm

On getting the implementation of derivatives reforms right.

On getting the implementation of derivatives reforms right.

Participants

J. Christopher Giancarlo

5:00pm – 5:05pm

Closing Remarks

Venue

JW Marriott Washington, DC

1331 Pennsylvania Avenue, NW
Washington, DC 20004

Comfort, sophistication and style. Ideally situated in the heart of downtown Washington, just moments from the National Mall and U.S. Capitol, this luxury hotel is at the center of it all.

Picture of venue

Hotel Accomodations

$359/night plus tax

First-come, first-served.

Hotel cutoff is October 2, 2017.

Book a Room

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Kate Zickel.

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 [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.

2016 Highlights

SIFMA’s 2016 Annual Meeting took place on September 27-28 in Washington, D.C.

From the Floor of the Capital Markets Conference:
SIFMA Chair-Elect Timothy C. Scheve, President & CEO Of Janney Montgomery Scott, On Fueling American Ingenuity And Economic Growth.

What’s on the Horizon for the Capital Markets?

What’s on the Horizon for the Capital Markets?

Why Does Smart Financial Regulation Matter?

We’re at an important confluence of events. We must now consider, have we have gotten the balance between regulation and economic growth right?

Calibrating Regulation to Strengthen Markets:

A full replay of the panel discussion that considers how we can calibrate regulation to strengthen markets without forsaking economic growth.

“Technology gives you the choice to scale really big and really broad, and also gives you the choice to stay small and have massive impact in your community. The only one who can make that choice is the business owner.”

Jack Dorsey
Co-Founder and CEO
Square, Inc. and Twitter, Inc.

“The U.S. financial system is the most efficient, effective, best-regulated market in the world. We don’t need more regulation; we need better regulation.”

“The fundamental issue has to be the resiliency of the marketplace.”

“You cannot have economic growth without risk. So the question is, what risks are acceptable in our financial system?”