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: register today to join us on November 18-19, 2019 at the JW Marriott in Washington, DC.

 

2019 Featured Speakers

SIFMA’s Annual Meeting features 60+ leading experts from the financial industry as well as policymakers and regulators. View our entire 2019 lineup to see what’s in store.

James R. Allen Hilliard Lyons Kevin Alm Kevin Alm Edward Jones Christian Bolu Christian Bolu Autonomous Research US Chairman  Jay Clayton U.S. Securities and Exchange Commission Michael Durbin, Fidelity Michael Durbin Fidelity Dan Gallagher Former SEC Commissioner Dan Gallagher WilmerHale Brian Gardner Brian Gardner Keefe Bruyette & Woods Former Chairman J. Christopher Giancarlo U.S. Commodity Futures Trading Commission Lisa Kidd Hunt Lisa Kidd Hunt Charles Schwab & Co., Inc. Charlotte McLaughlin, PNC Capital Markets Charlotte McLaughlin PNC Capital Markets Craig Messinger Craig Messinger Virtu Financial LLC Dr Mark Mobius Dr. Mark Mobius Mobius Capital Partners Katie Nixon Katie Nixon Northern Trust Keith A. Noreika Keith A. Noreika Simpson Thacher & Bartlett LLP Matt O’Connor Matt O’Connor Capital Group Penny Pennington, Edward Jones Penny Pennington Edward Jones Dana Peterson Dana Peterson Citi Former Counselor Craig Phillips U.S. Department of the Treasury Dawn DeBerry Stump, CFTC Commissioner Dawn DeBerry Stump U.S. Commodity Futures Trading Commission Joseph E. Sweeney Joseph E. Sweeney Ameriprise Financial, Inc. Jim Reynolds, Loop Capital James Reynolds, Jr. Loop Capital Markets LLC John C. Williams John C. Williams Federal Reserve Bank of New York

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

More than 100 SIFMA member firms were represented in 2018, including:

      • AB
      • Ameriprise Financial
      • Ares Management
      • Bank of America Merrill Lynch
      • Barclays
      • BlackRock
      • BNP Paribas
      • Citadel LLC
      • Citigroup Inc.
      • Credit Suisse Group AG
      • Edward Jones
      • Fidelity
      • Goldman Sachs & Co. LLC
      • Guggenheim Partners
      • HSBC
      • Invesco
      • Janney Montgomery Scott LLC
      • JPMorgan Chase & Co.
      • Legg Mason Global Asset Management
      • LPL Financial
      • Macquarie Group
      • Morgan Stanley
      • Neuberger Berman
      • Northern Trust
      • Oppenheimer & Co.
      • Rabobank Group
      • Raymond James Financial, Inc.
      • Royal Bank of Canada (RBC)
      • Russell Investments
      • Stephens Inc.
      • T. Rowe Price Associates, Inc.
      • TD Ameritrade, Inc.
      • UBS AG
      • Virtu Financial

Find out who’s already registered to join us in 2019.

SIFMA Annual Meeting

The Capital Markets Conference

Date

November 18 - November 19, 2019

Location

Washington, DC

Hosted by

SIFMA

Pre-Conference – Until 11/15/19

  • Member $1095
  • Non-Member $1395
  • Regulator $495

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: register today to join us on November 18-19, 2019 at the JW Marriott in Washington, DC.

 

2019 Featured Speakers

SIFMA’s Annual Meeting features 60+ leading experts from the financial industry as well as policymakers and regulators. View our entire 2019 lineup to see what’s in store.

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

More than 100 SIFMA member firms were represented in 2018, including:

      • AB
      • Ameriprise Financial
      • Ares Management
      • Bank of America Merrill Lynch
      • Barclays
      • BlackRock
      • BNP Paribas
      • Citadel LLC
      • Citigroup Inc.
      • Credit Suisse Group AG
      • Edward Jones
      • Fidelity
      • Goldman Sachs & Co. LLC
      • Guggenheim Partners
      • HSBC
      • Invesco
      • Janney Montgomery Scott LLC
      • JPMorgan Chase & Co.
      • Legg Mason Global Asset Management
      • LPL Financial
      • Macquarie Group
      • Morgan Stanley
      • Neuberger Berman
      • Northern Trust
      • Oppenheimer & Co.
      • Rabobank Group
      • Raymond James Financial, Inc.
      • Royal Bank of Canada (RBC)
      • Russell Investments
      • Stephens Inc.
      • T. Rowe Price Associates, Inc.
      • TD Ameritrade, Inc.
      • UBS AG
      • Virtu Financial

Find out who’s already registered to join us in 2019.

Program

2:00pm – 6:00pm

Registration Desk Hours

3:15pm – 3:20pm

Participants

Kenneth E. Bentsen, Jr.

Speaker

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

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

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

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 – 4:50pm

Participants

Penny Pennington

Speaker

Penny Pennington

Managing Partner

Edward Jones

Penny Pennington’s Biography

4:50pm – 5:50pm

Featured Session to be Announced

5:50pm – 6:20pm

Participants

Dawn DeBerry Stump

6:30pm – 9:00pm

Sponsored By: Broadridge Financial Solutions, Fidelity Clearing & Custody Solutions and Google Cloud

Sponsored By: Broadridge Financial Solutions, Fidelity Clearing & Custody Solutions and Google Cloud

7:30am – 5:00pm

Registration Desk Hours

7:30am – 8:30am

Co-Sponsored By: Mediant Communications LLC and Proofpoint

Co-Sponsored By: Mediant Communications LLC and Proofpoint

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

James R. Allen

Chairman and Chief Executive Officer

Hilliard Lyons

James R. Allen’s Biography

Joseph E. Sweeney

President, Advice & Wealth Management, Products and Service Delivery

Ameriprise Financial, Inc.

Joseph E. Sweeney’s Biography

8:30am – 9:00am

Participants

Jay Clayton

9:00am – 9:30am

Participants

John C. Williams

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

Dr. Mark Mobius

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

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

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

Kenneth E. Bentsen, Jr., Martin Boyd, Timothy C. Gokey, Clara Shih

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Panelists

Martin Boyd

President, Capital Market Solutions

FIS

Martin Boyd’s Biography

Timothy C. Gokey

President & Chief Executive Officer

Broadridge Financial Solutions, Inc.

Timothy C. Gokey’s Biography

Clara Shih

CEO and Founder

Hearsay Systems

Clara Shih’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? Mario Nava…

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? Mario Nava walks us through the case for sustainable investments, with a panel discussion to follow.

Participants

Andrew Bastow, Elisabeth Ottawa, Carl Spavin, Mario Nava

Panelists

Andrew Bastow

Managing Director, General Counsel and Head of Regulatory Affairs (EMEA)

AQR Capital Management

Andrew Bastow’s Biography

Elisabeth Ottawa

Deputy Head of Public Policy

Schroders

Elisabeth Ottawa’s Biography

Carl Spavin

Head of Compliance, Europe, Middle East and Africa

Manulife Investment Management (Europe) Limited - London

Carl Spavin’s Biography

Mario Nava

Director for Horizontal Policies, DG FISMA

European Commission

Mario Nava’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

James Reynolds, Jr., Michael Durbin, Charlotte McLaughlin

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

1:40pm – 2:40pm

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, Jason Manske, 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

Jason Manske

Senior Managing Director and Head of Global Derivatives and Liquid Markets

MetLife

Jason Manske’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, Ret.)

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, Ret.)

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

U.S. Department of the Treasury

David Lacquement (MG, Ret.)’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, Andres Wolberg-Stok, Haimera Workie

Moderator

Annette Nazareth

Partner, Financial Institutions

Davis Polk & Wardwell LLP

Annette Nazareth’s Biography

Speakers

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

U.S. Representative Josh Gottheimer, U.S. Representative Tom Reed

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

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.

Hotel Accommodations

Rates in SIFMA’s room block start at $315 per night and are quoted exclusive of taxes and fees. Rates expire on Friday, November 1; rooms are available on a first-come, first-serve basis and do sell out. Please confirm all cancellation policies directly with the hotel when booking your reservation.

 

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.