Overview

Each fall, SIFMA’s Annual Meeting gathers the most influential voices shaping today’s capital markets. Through candid one-on-one conversations and expert panel discussions, we assess challenges and gain insights into opportunities ahead.

Find out what is top of mind for market participants with highlights from our 2019 event at the JW Marriott in Washington, DC.

Where the Capital Markets Meet

Watch replays of select sessions, including one-on-one conversations with SEC Chair Jay Clayton, CFTC Commissioner Dawn Stump and New York Fed President and CEO John Williams.

 

2019 Featured Speakers

SIFMA’s Annual Meeting features 50+ leading experts from the financial industry as well as policymakers and regulators. View our entire 2019 lineup.

 

Through the Lens

Explore the event with our 2019 photo album.

2019 Annual Meeting | The Capital Markets Conference

BloombergTV

David Westin of BloombergTV sat down with SIFMA President and CEO Ken Bentsen to discuss MiFID, USMCA, U.S.-China trade and more. Watch their discussion from the floor of the conference.

(Source: Bloomberg)

Delegate Testimonials

“SIFMA’s Annual Meeting is an excellent forum for buy-side, sell-side, platforms, regulators – all market participants – to come together and hear one another’s perspectives.”

“I attend SIFMA’s Annual Meeting because 1) it’s a great networking opportunity, 2) it is a great way to learn, and 3) the industry is coming together to think about ways that we can collaborate to solve challenges.”

“It’s an opportunity to get a ton of useful information, network with the right people and really get an opportunity to see what’s going on in the industry, what’s current.”

Who Attends

      • 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

Companies in Attendance

Nearly 200 SIFMA member firms were represented in 2019, including:

      • AB
      • Advisor Group
      • Ameriprise Financial
      • Ares Management
      • Bank of America Merrill Lynch
      • Barclays
      • BNP Paribas
      • Capital Group
      • Charles Schwab
      • Citadel
      • Citi
      • CME Group
      • Credit Agricole
      • Credit Suisse Group AG
      • E*Trade
      • Edward Jones
      • Fidelity
      • Goldman Sachs
      • Guggenheim Partners
      • HSBC
      • IEX Group
      • Invesco
      • Janney Montgomery Scott LLC
      • JPMorgan Chase & Co.
      • Legg Mason
      • LPL Financial
      • Macquarie Group
      • Morgan Stanley
      • Natixis
      • Neuberger Berman
      • Northern Trust
      • Nuveen
      • Oppenheimer & Co.
      • Pershing
      • Piper Jaffray
      • Rabobank Group
      • Raymond James Financial, Inc.
      • Royal Bank of Canada (RBC)
      • Russell Investments
      • State Street
      • Stephens Inc.
      • Stifel, Nicolaus & Co., Inc.
      • T. Rowe Price Associates, Inc.
      • TD Ameritrade, Inc.
      • UBS AG
      • Virtu Financial
      • Wells Fargo

SIFMA Annual Meeting

The Capital Markets Conference

Date

November 18 - November 19, 2019

Location

Washington, DC

Hosted by

SIFMA

Overview

Each fall, SIFMA’s Annual Meeting gathers the most influential voices shaping today’s capital markets. Through candid one-on-one conversations and expert panel discussions, we assess challenges and gain insights into opportunities ahead.

Find out what is top of mind for market participants with highlights from our 2019 event at the JW Marriott in Washington, DC.

Where the Capital Markets Meet

Watch replays of select sessions, including one-on-one conversations with SEC Chair Jay Clayton, CFTC Commissioner Dawn Stump and New York Fed President and CEO John Williams.

 

2019 Featured Speakers

SIFMA’s Annual Meeting features 50+ leading experts from the financial industry as well as policymakers and regulators. View our entire 2019 lineup.

 

Through the Lens

Explore the event with our 2019 photo album.

2019 Annual Meeting | The Capital Markets Conference

BloombergTV

David Westin of BloombergTV sat down with SIFMA President and CEO Ken Bentsen to discuss MiFID, USMCA, U.S.-China trade and more. Watch their discussion from the floor of the conference.

(Source: Bloomberg)

Delegate Testimonials

“SIFMA’s Annual Meeting is an excellent forum for buy-side, sell-side, platforms, regulators – all market participants – to come together and hear one another’s perspectives.”

“I attend SIFMA’s Annual Meeting because 1) it’s a great networking opportunity, 2) it is a great way to learn, and 3) the industry is coming together to think about ways that we can collaborate to solve challenges.”

“It’s an opportunity to get a ton of useful information, network with the right people and really get an opportunity to see what’s going on in the industry, what’s current.”

Who Attends

      • 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

Companies in Attendance

Nearly 200 SIFMA member firms were represented in 2019, including:

      • AB
      • Advisor Group
      • Ameriprise Financial
      • Ares Management
      • Bank of America Merrill Lynch
      • Barclays
      • BNP Paribas
      • Capital Group
      • Charles Schwab
      • Citadel
      • Citi
      • CME Group
      • Credit Agricole
      • Credit Suisse Group AG
      • E*Trade
      • Edward Jones
      • Fidelity
      • Goldman Sachs
      • Guggenheim Partners
      • HSBC
      • IEX Group
      • Invesco
      • Janney Montgomery Scott LLC
      • JPMorgan Chase & Co.
      • Legg Mason
      • LPL Financial
      • Macquarie Group
      • Morgan Stanley
      • Natixis
      • Neuberger Berman
      • Northern Trust
      • Nuveen
      • Oppenheimer & Co.
      • Pershing
      • Piper Jaffray
      • Rabobank Group
      • Raymond James Financial, Inc.
      • Royal Bank of Canada (RBC)
      • Russell Investments
      • State Street
      • Stephens Inc.
      • Stifel, Nicolaus & Co., Inc.
      • T. Rowe Price Associates, Inc.
      • TD Ameritrade, Inc.
      • UBS AG
      • Virtu Financial
      • Wells Fargo

Program

2:00pm – 6:20pm

Registration Desk Hours

3:15pm – 3:20pm

Participants

James R. Allen

3:20pm – 4:20pm

On the imposition of regulation by prudential agencies on the capital markets, its restrictions and its relationship to markets regulators.

On the imposition of regulation by prudential agencies on the capital markets, its restrictions and its relationship to markets regulators.

Participants

Lisa Kidd Hunt, J. Christopher Giancarlo, Dan Gallagher, Keith A. Noreika, Craig Phillips

Moderator

Lisa Kidd Hunt

Executive Vice President, International Services

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

Speakers

Dan Gallagher

Partner and Deputy Chair, Securities Department

WilmerHale

Former Commissioner

U.S. Securities and Exchange Commission

Dan Gallagher’s Biography

Craig Phillips

Former Counselor to the Secretary

U.S. Department of the Treasury

Craig Phillips’s Biography

4:20pm – 5:00pm

Participants

Penny Pennington

Speaker

Penny Pennington

Managing Partner

Edward Jones

Penny Pennington’s Biography

5:00pm – 5:30pm

Participants

Kenneth E. Bentsen, Jr., Senator Tim Scott

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

5:30pm – 6:00pm

Participants

Kenneth E. Bentsen, Jr., Dawn DeBerry Stump

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

6:00pm – 6:00pm

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

6:30pm – 9:00pm

7:30am – 4:45pm

Registration Desk Hours

7:30am – 8:30am

8:00am – 8:30am

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., James R. Allen, Joseph E. Sweeney

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speakers

Joseph E. Sweeney

President, Advice & Wealth Management, Products and Service Delivery

Ameriprise Financial, Inc.

Joseph E. Sweeney’s Biography

8:30am – 9:00am

Participants

Kenneth E. Bentsen, Jr., Jay Clayton

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

9:00am – 9:30am

Participants

Kenneth E. Bentsen, Jr., John C. Williams

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

John C. Williams

President and Chief Executive Officer

Federal Reserve Bank of New York

John C. Williams’s Biography

9:30am – 10:00am

Participants

David Westin, Dr. Mark Mobius

Moderator

David Westin

Anchor

Bloomberg

David Westin’s Biography

Speaker

Dr. Mark Mobius

Founding Partner

Mobius Capital Partners

Dr. Mark Mobius’s Biography

10:00am – 10:50am

On building financial futures with client experience and investor protection.

On building financial futures with client experience and investor protection.

Participants

Scott Smith, Kevin Alm, Lisa Kidd Hunt, Matthew P. O’Connor, Joseph E. Sweeney

Moderator

Scott Smith

Director of Advice Relationships

Cerulli Associates

Scott Smith’s Biography

Speakers

Kevin Alm

Principal - Client Strategies Group – Solutions

Edward Jones

Kevin Alm’s Biography

Lisa Kidd Hunt

Executive Vice President, International Services

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

Matthew P. O’Connor

Chairman and CEO, American Funds Distributors

Capital Group

Matthew P. O’Connor’s Biography

Joseph E. Sweeney

President, Advice & Wealth Management, Products and Service Delivery

Ameriprise Financial, Inc.

Joseph E. Sweeney’s Biography

10:50am – 11:20am

Sponsored By: Google Cloud

Sponsored By: Google Cloud

11:20am – 12:20pm

Financial institutions are forming strategic partnerships to better protect investors and markets, manage risk and produce results for our clients. How are world-leading organizations  leveraging innovation and technology…

Financial institutions are forming strategic partnerships to better protect investors and markets, manage risk and produce results for our clients. How are world-leading organizations  leveraging innovation and technology at scale? Find out where you can build meaningful partnerships and produce real benefits for the industry at-large and the clients we serve.

Participants

Thomas F. Price, Russ Kole, Jim Neve, Chris Perry, Tom Westhoff

Moderator

Thomas F. Price

Managing Director, Technology, Operations, and Business Continuity

SIFMA

Thomas F. Price’s Biography

Panelists

Russ Kole

Engineering Manager, Financial Services

Google Cloud

Russ Kole’s Biography

Jim Neve

Chief Revenue Officer, Capital Markets Solutions

FIS

Jim Neve’s Biography

Chris Perry

President, Global Sales, Marketing and Solutions

Broadridge Financial Solutions

Chris Perry’s Biography

Tom Westhoff

Vice President, Sales

Hearsay Systems

Tom Westhoff’s Biography

In just ten years, seniors aged 65 and over will make up 18% of the U.S. population; it is vital we protect them from financial exploitation and the…

In just ten years, seniors aged 65 and over will make up 18% of the U.S. population; it is vital we protect them from financial exploitation and the dangers of cognitive decline. In a truly personal discussion with those partnering to advance the cause, see the impact of new FINRA rules and state laws plus gain insights on potential federal legislative developments.

Participants

Lisa Bleier, Lori Delagrammatikas, Judith Kozlowski, Ronald Long, Gerri Walsh

Moderator

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

Panelists

Judith Kozlowski

Elder Justice Expert Consultant

Judith Kozlowski’s Biography

Ronald Long

SVP, Head of Elder Client Initiatives Center of Excellence

Wells Fargo Advisors

Ronald Long’s Biography

Gerri Walsh

President, FINRA Foundation and Senior Vice President, Investor Education

FINRA

Gerri Walsh’s Biography

Sustainability is a global imperative with initiatives spawning around the globe. Where can asset managers find return as they meet the demand for sustainable investment products?

Sustainability is a global imperative with initiatives spawning around the globe. Where can asset managers find return as they meet the demand for sustainable investment products?

Participants

Timothy W. Cameron, Victor van Hoorn, Elisabeth Ottawa, Antonia Perry, Martin Spolc

Moderator

Timothy W. Cameron

Managing Director, Head of SIFMA Asset Management Group

SIFMA

Timothy W. Cameron’s Biography

Panelists

Victor van Hoorn

Head of EU Financial Services

Hume Brophy

Victor van Hoorn’s Biography

Elisabeth Ottawa

Deputy Head of Public Policy

Schroders

Elisabeth Ottawa’s Biography

Antonia Perry

VP, Global Distribution Compliance

Manulife Investment Management (US) LLC

Antonia Perry’s Biography

Martin Spolc

Head of Sustainable Finance and Fintech Unit

European Commission

Martin Spolc’s Biography

12:20pm – 1:35pm

Sponsored By: FICO

Sponsored By: FICO

12:50pm – 1:35pm

On running a business in tumultuous times - and with an inverted yield curve.

On running a business in tumultuous times – and with an inverted yield curve.

Participants

Ben White, James Reynolds, Jr., Michael Durbin, Charlotte McLaughlin, Craig Messinger

Moderator

Ben White

Chief Economic Correspondent

Politico

Ben White’s Biography

Speakers

James Reynolds, Jr.

Chairman and Chief Executive Officer

Loop Capital Markets, LLC

James Reynolds, Jr.’s Biography

Michael Durbin

Head of Fidelity Institutional

Fidelity

Michael Durbin’s Biography

Charlotte McLaughlin

President & CEO

PNC Capital Markets

Charlotte McLaughlin’s Biography

Craig Messinger

Vice Chairman

Virtu Financial LLC

Craig Messinger’s Biography

1:45pm – 2:45pm

The transition from the London Interbank Offered Rate (LIBOR) to the Secured Overnight Financing Rate (SOFR) and other alternative interest rate benchmarks is well underway, but much work…

The transition from the London Interbank Offered Rate (LIBOR) to the Secured Overnight Financing Rate (SOFR) and other alternative interest rate benchmarks is well underway, but much work lies ahead for the industry to implement a successful reference rate change by the end of 2021. With 800 days remaining before LIBOR’s potential end, walk through an implementation checklist and discuss obstacles and remedies to the transition.

Participants

Chris Killian, David Bowman, Wells Engledow, Thomas Wipf

Moderator

Chris Killian

Managing Director, Securitization and Corporate Credit

SIFMA

Chris Killian’s Biography

Panelists

David Bowman

Special Adviser to the Board

Federal Reserve Board of Governors

David Bowman’s Biography

Wells Engledow

Vice President and Deputy General Counsel

Fannie Mae

Wells Engledow’s Biography

Thomas Wipf

Vice Chairman of Institutional Securities

Morgan Stanley

Chair

Alternative Reference Rates Committee (ARRC)

Thomas Wipf’s Biography

Cyber continues to be the number one risk facing financial services. What is the current threat environment for our sector and how can we defend against it? Discuss…

Cyber continues to be the number one risk facing financial services. What is the current threat environment for our sector and how can we defend against it? Discuss extreme but possible scenarios like data destruction and learn the best practices being used to combat them.

Participants

Andy Ozment, John P. Carlin, David Lacquement (MG, U.S. Army Ret.), Katheryn Rosen

Moderator

Panelists

John P. Carlin

Partner

Morrison & Foerster LLP

Former Assistant Attorney General for the U.S. Department of Justice’s National Security Division

John P. Carlin’s Biography

David Lacquement (MG, U.S. Army Ret.)

Deputy Assistant Secretary of the Treasury for Cybersecurity, Critical Infrastructure Protection, and Compliance Policy

U.S. Department of the Treasury

David Lacquement (MG, U.S. Army Ret.)’s Biography

Katheryn Rosen

Managing Director, Global Head, Technology and Cybersecurity Policy and Partnerships

JPMorgan Chase & Co.

Katheryn Rosen’s Biography

Financial technology is changing how we interact with the markets, service providers, regulators and customers. Fast forward through the next decade: how will fintech have transformed the products,…

Financial technology is changing how we interact with the markets, service providers, regulators and customers. Fast forward through the next decade: how will fintech have transformed the products, services and business models of financial institutions?

Participants

Annette Nazareth, Sadia Halim, Brian Murrow, Andres Wolberg-Stok, Haimera Workie

Moderator

Annette Nazareth

Partner, Financial Institutions

Davis Polk & Wardwell LLP

Annette Nazareth’s Biography

Panelists

Sadia Halim

Managing Director, Global Head of Digital Innovation & Transformation, FIC

BNP Paribas

Sadia Halim’s Biography

Andres Wolberg-Stok

Head of Digital Policy

Citi Global Consumer Banking

Andres Wolberg-Stok’s Biography

Haimera Workie

Head of Financial Innovation and Senior Director at FINRA

FINRA

Haimera Workie’s Biography

2:45pm – 3:15pm

Networking Break

3:15pm – 4:00pm

A fireside chat from both sides of the aisle.

A fireside chat from both sides of the aisle.

Participants

Kenneth E. Bentsen, Jr., U.S. Representative Josh Gottheimer, U.S. Representative Tom Reed

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speakers

U.S. Representative Josh Gottheimer

New Jersey's Fifth Congressional District Representative

Congressman

U.S. Representative Josh Gottheimer’s Biography

U.S. Representative Tom Reed

New York's 23rd District Representative

Congressman

U.S. Representative Tom Reed’s Biography

4:00pm – 4:45pm

Trade policy, Brexit, the 2020 elections, global recession risk… With uncertainty as the only common market theme, how do you navigate the global landscape? Piece together the outlook…

Trade policy, Brexit, the 2020 elections, global recession risk… With uncertainty as the only common market theme, how do you navigate the global landscape? Piece together the outlook for capital markets with expert insights on the economy, Washington environment, financial services industry and investment opportunities.

Participants

Guy Moszkowski, Christian Bolu, Brian Gardner, Katherine E. Nixon, Dana Peterson

Moderator

Guy Moszkowski

Founder and Former Director of Research

Autonomous Research US

Guy Moszkowski’s Biography

Panelists

Christian Bolu

Senior Analyst, US Capital Markets

Autonomous Research

Christian Bolu’s Biography

Brian Gardner

Managing Director, Washington Research

Keefe Bruyette & Woods

Brian Gardner’s Biography

Katherine E. Nixon

Executive Vice President and Chief Investment Officer

Northern Trust

Katherine E. Nixon’s Biography

Dana Peterson

Global Economist

Citi

Dana Peterson’s Biography

4:45pm – 4:45pm

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.

Welcome Reception

Network at the iconic Washington landmark, the Smithsonian Institution’s National Museum of Natural History.

 

Picture of venue

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181

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. View our Code of Conduct and anonymous incident report form.

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.