SIFMA Annual Meeting

The Capital Markets Conference

Date

October 23 - October 24, 2017

Location

Washington, DC

Hosted by

SIFMA

Overview

Each fall, SIFMA’s Annual Meeting gathers in Washington, D.C. for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Mark your calendar to join us on October 1-2, 2018 at the Mandarin Oriental, Washington DC for expert insights and unparalleled networking with the foremost policymakers, regulators and financial market experts.

Read on for highlights from the 2017 event and view the 2017 program (also available in pdf).

2017 Featured Speakers

Pricing

Member
Early Bird Rates $1345
Pre-Conference Rates $1445
On-Site Rates $1545
Non-Member
Early Bird Rates $1750
Pre-Conference Rates $1850
On-Site Rates $1950
Regulator
Early Bird Rates $445
Pre-Conference Rates $445
On-Site Rates $445
Pricing
Member Non-Member Regulator
Early Bird Rates $1345 $1750 $445
Pre-Conference Rates $1445 $1850 $445
On-Site Rates $1545 $1950 $445

Programs

3:00pm – 6:20pm

Registration Desk Hours

3:45pm – 4:55pm

Today’s global cybersecurity threats require firms to rethink the organization of their risk management functions to address emerging threats, new regulatory demands, and issues around data protection and privacy. How…

Today’s global cybersecurity threats require firms to rethink the organization of their risk management functions to address emerging threats, new regulatory demands, and issues around data protection and privacy. How have industry leaders set out to challenge conventional ideas and implement cutting-edge organizational designs that increase resiliency?

Participants

Thomas M. Wagner, Thomas Ferlazzo, Craig Froelich, Phil Venables, Michael Williams

Moderator

Thomas M. Wagner

Managing Director, Financial Services Operations

SIFMA

Thomas M. Wagner’s Biography

Panelists

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

Michael Williams

Principal, Internal Audit

Edward Jones

Michael Williams’s Biography

The case for infrastructure investment is clear, but the outlook is not. How might President Trump’s $1 trillion infrastructure investment plan and the policy debate in Washington affect…

The case for infrastructure investment is clear, but the outlook is not. How might President Trump’s $1 trillion infrastructure investment plan and the policy debate in Washington affect the ability of both the public and private sectors to finance infrastructure projects?

Participants

Chris Hamel, Robert E. Amodeo, Robert Andres, Robyn M. Boerstling, Stephen Howard

Moderator

Chris Hamel

Managing Director, Head of Municipal Finance

RBC Capital Markets

Chris Hamel’s Biography

Panelists

Robert Andres

Tax and Economic Policy Advisor

U.S. Senate Committee on Finance

Robert Andres’s Biography

Robyn M. Boerstling

Vice President, Infrastructure, Innovation and Human Resources Policy

National Association of Manufacturers

Robyn M. Boerstling’s Biography

Stephen Howard

Director and Head of Infrastructure Project Finance

Barclays Capital

Stephen Howard’s Biography

4:55pm – 5:05pm

Networking Break

5:05pm – 5:10pm

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

5:10pm – 5:50pm

On the outlook for tax reform.

On the outlook for tax reform.

Participants

Ylan Mui, The Honorable Kevin Brady

Moderator

Ylan Mui

CNBC Reporter

CNBC

Ylan Mui’s Biography

Speaker

The Honorable Kevin Brady

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

The Honorable Kevin Brady’s Biography

5:50pm – 6:20pm

On the intersection of technology and advice

On the intersection of technology and advice

Participants

Kenneth E. Bentsen, Jr., Ronald J. Kruszewski

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

Ronald J. Kruszewski

Chairman of the Board and Chief Executive Officer

Stifel Financial Corp.

Ronald J. Kruszewski’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

On embracing a digital future

On embracing a digital future

Participants

Abigail P. Johnson

Speaker

Abigail P. Johnson

Chairman and CEO

Fidelity Investments

Abigail P. Johnson’s Biography

9:35am – 10:10am

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

Lisa Kidd Hunt, Warren A. Stephens

Moderator

Lisa Kidd Hunt

Executive Vice President, International Services and Special Business Development

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

Speaker

Warren A. Stephens

Chairman, President and Chief Executive Officer

Stephens Inc.

Warren A. Stephens’s Biography

10:10am – 10:30am

10:30am – 11:40am

Regulators continue to contemplate market-based finance and the role of asset management generally, including the FCA who recently completed an extensive study on the sector and recommended substantive reforms.…

Regulators continue to contemplate market-based finance and the role of asset management generally, including the FCA who recently completed an extensive study on the sector and recommended substantive reforms. What is the impact of these reforms and what other reforms might be necessary? Is there still a role for both passive and active management?

Participants

Robin Wigglesworth, Paul Atkins, Paul P. Andrews, Chester Spatt, Christopher Woolard

Moderator

Robin Wigglesworth

US Markets Editor

Financial Times

Robin Wigglesworth’s Biography

Panelists

Paul Atkins

Chief Executive Officer

Patomak Global Partners

Paul Atkins’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?

Location

New York State

Credits

CLE Credits 1

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 & CEO, Co-Founder

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

Suzanne Shank’s Biography

11:40am – 1:30pm

Networking Luncheon

12:15pm – 12:20pm

Participants

Lisa Kidd Hunt

Speaker

Lisa Kidd Hunt

Executive Vice President, International Services and Special Business Development

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

12:20pm – 1:00pm

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

Timothy C. Scheve, Jay Clayton

1:10pm – 2:20pm

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

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

Panelists

Sandra O’Connor

Managing Director, Chief Regulatory Affairs Officer

JPMorgan Chase & Co.

Sandra O’Connor’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

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, Lisa Kidd Hunt, 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

Lisa Kidd Hunt

Executive Vice President, International Services and Special Business Development

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’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

2:30pm – 3:00pm

On the role of government - and how to pay for it

On the role of government - and how to pay for it

Participants

Mick Mulvaney

3:00pm – 3:10pm

Networking Break

3:10pm – 4:10pm

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

4:10pm – 4:40pm

On getting the implementation of derivatives reforms right.

On getting the implementation of derivatives reforms right.

Participants

William C. Caccamise, J. Christopher Giancarlo

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

4:40pm – 5:10pm

Participants

Craig Phillips

Speaker

Craig Phillips

Counselor to the Secretary

U.S. Department of the Treasury

Craig Phillips’s Biography

5:10pm – 5:10pm

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

Related Resources

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media 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.