SIFMA C&L Annual Seminar Program

Overview

2019 Program Preview:

Program

3:00pm – 8:00pm

Registration Desk Hours

3:00pm – 6:00pm

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty…

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty coffee break!

6:30am – 7:30am

7:00am – 2:00pm

Registration Desk Hours
Specialty Coffee Stations Sponsored by: Covington & Burling LLP Moore & Van Allen PLLC

Specialty Coffee Stations Sponsored by:

Covington & Burling LLP

Moore & Van Allen PLLC

7:00am – 7:30am

Networking Breakfast

7:00am – 2:00pm

Sponsored by: KPMG LLP Compliments of KPMG LLP, SIFMA has contracted a professional photographer to provide meeting attendees free professional headshots.  The photo booth will be located in Exhibit…

Sponsored by:

KPMG LLP

Compliments of KPMG LLP, SIFMA has contracted a professional photographer to provide meeting attendees free professional headshots.  The photo booth will be located in Exhibit Hall during Hall Hours on Monday & Tuesday.

  • No advance sign-up is required.
  • Pictures will be available on a password-protected site for the recipient to view after the meeting.

 

8:00am – 10:00am

General Session

8:00am – 8:10am

Participants

Elaine Mandelbaum, Kenneth L. Miller

Speakers

Elaine Mandelbaum

Managing Director and General Counsel of Litigation and Regulatory Enforcement

Citi

Elaine Mandelbaum’s Biography

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Co-Chairperson

Kenneth L. Miller’s Biography

8:10am – 8:40am

Participants

Robert W. Cook, Ira D. Hammerman

Speakers

Robert W. Cook

President and Chief Executive Officer

FINRA

Robert W. Cook’s Biography

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

8:40am – 10:00am

Participants

Eric F. Grossman, Stephanie Avakian, Robert Khuzami, Steven Peikin, Susan A. Schroeder

Moderator

Eric F. Grossman

Executive Vice President and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

Panelists

Stephanie Avakian

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Stephanie Avakian’s Biography

Steven Peikin

Co-Director, Division of Enforcement

U.S. Securities and Exchange Commission

Steven Peikin’s Biography

Susan A. Schroeder

Executive Vice President and Head of Enforcement

FINRA

Susan A. Schroeder’s Biography

Hosted by: Deloitte The session will explore the exceptional amount of growth in the space over the past five years and why that growth is likely to continue.  We…

Hosted by:

Deloitte

The session will explore the exceptional amount of growth in the space over the past five years and why that growth is likely to continue.  We will also explore the risks associated with this growth that are beginning to manifest themselves, including: “stress on the system”  from the increasing flows into advisory accounts that may put the ability to sustain the current business and future growth at risk; and the increase in the regulatory focus and enforcement activity on managed account programs as the regulators follow the money.

Participants

Joshua Uhl

Speaker

Joshua Uhl

Senior Manager

Deloitte

Joshua Uhl’s Biography

10:30am – 11:45am

Participants

Theodore R. Lazo, Maura Miller

Moderator

Theodore R. Lazo

Managing Director & Associate General Counsel, Equities

SIFMA

Theodore R. Lazo’s Biography

Panelist

Maura Miller

Director-Equities Compliance

Credit Suisse Securities (USA) LLC

Maura Miller’s Biography

Participants

Ronald Long

Moderator

Ronald Long

Director of Regulatory Affairs and Elder Client Initiatives

Wells Fargo Advisors

Ronald Long’s Biography

Participants

Mary Reisert

Moderator

Mary Reisert

Managing Director, Legal Department

Citigroup Global Markets, Inc.

Mary Reisert’s Biography

Participants

Carter McDowell

Moderator

Carter McDowell

Managing Director and Associate General Counsel

SIFMA

Carter McDowell’s Biography

Participants

Kenneth Crowley

Moderator

Kenneth Crowley

Executive Director

UBS Financial Services Inc.

Kenneth Crowley’s Biography

Participants

Todd Baskin

Moderator

Todd Baskin

Managing Director & Associate General Counsel

Bank of America Merrill Lynch

Todd Baskin’s Biography

Participants

Greg Ruppert

Moderator

Greg Ruppert

Bank Secrecy Act Officer, Senior Vice President, Corporate Risk Management

Charles Schwab & Co., Inc.

Greg Ruppert’s Biography

Participants

Joshua E. Levine

Moderator

Joshua E. Levine

Managing Director and General Counsel – ICG Regulatory Enforcement

Citigroup

Joshua E. Levine’s Biography

Participants

Joe Salama

Moderator

Joe Salama

Associate General Counsel & Global Head of Litigation and Regulatory Enforcement

Deutsche Bank AG

Joe Salama’s Biography

Participants

Kerry Gendron

Moderator

Kerry Gendron

Managing Director, Head of Compliance Oversight

Morgan Stanley

Kerry Gendron’s Biography

Participants

Eric Gallinek

Moderator

Eric Gallinek

Managing Director, Global Compliance Head - Global Banking & Markets and International

Bank of America Merrill Lynch

Eric Gallinek’s Biography

11:45am – 12:15pm

12:15pm – 1:30pm

MB: SEC Best Interest Rule Proposal

Participants

Cynthia B. Adams

Moderator

Cynthia B. Adams

Managing Director, Litigation, Regulatory and Employment Legal

Jefferies LLC

Cynthia B. Adams’s Biography

Participants

Suzanne Elovic

Moderator

Suzanne Elovic

Executive Director, Regulatory Compliance

UBS AG

Suzanne Elovic’s Biography

Participants

James Meadows

Moderator

James Meadows

Head of Litigation

Barclays

James Meadows’s Biography

Participants

Darya Geetter

Moderator

Darya Geetter

Executive Vice President, Deputy General Counsel

LPL Financial

Darya Geetter’s Biography

Participants

C. Annette Kelton, Andre Owens

Moderator

C. Annette Kelton

Associate General Counsel & Head of Equities

Goldman, Sachs & Co.

C. Annette Kelton’s Biography

Panelist

Andre Owens

Partner, Securities

WilmerHale

Andre Owens’s Biography

Participants

Cece Baute Mavico

Moderator

Cece Baute Mavico

Senior Vice President & Associate Counsel

LPL Financial LLC

Cece Baute Mavico’s Biography

Participants

Jeffrey Harwin

Moderator

Jeffrey Harwin

Managing Director, Head of Financial Crime, Investment Bank Financial Crime Compliance

Barclays Capital Inc.

Jeffrey Harwin’s Biography

MB: General Counsel Roundtable

Participants

Melissa MacGregor

Moderator

Melissa MacGregor

Managing Director and Associate General Counsel

SIFMA

Melissa MacGregor’s Biography

Participants

Amy Reich, Alison Morpurgo-Cotter, Charlotte Stalin

Moderator

Amy Reich

General Counsel, APAC Asia Pacific Region

Citibank, N.A.

Amy Reich’s Biography

Panelists

Alison Morpurgo-Cotter

Managing Director, Global Head Cross-Border Legal

UBS Global Wealth Management

Alison Morpurgo-Cotter’s Biography

1:30pm – 6:30pm

Pre-Registration is required. Please contact [email protected]  

Pre-Registration is required.

Please contact [email protected]

 

1:30pm – 2:30pm

Participants

Kenneth L. Miller, Eric F. Grossman, William R. McLucas

Moderator

Kenneth L. Miller

Deputy General Counsel

Bank of America

Seminar Co-Chairperson

Kenneth L. Miller’s Biography

Panelists

Eric F. Grossman

Executive Vice President and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

William R. McLucas

Partner

WilmerHale

William R. McLucas’s Biography

7:00am – 2:00pm

Registration Desk Hours
Specialty Coffee Stations Sponsored by: Hogan Lovells US LLP Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning…

Specialty Coffee Stations Sponsored by:

Hogan Lovells US LLP

Stop by the SIFMA C&L Annual Exhibition Hall to visit over 50 exhibitors, share your thought leadership in the Learning Lab, update your professional headshot and indulge in a specialty coffee break!

7:00am – 7:40am

7:00am – 7:45am

Diversity & Inclusion Breakfast

8:00am – 10:00am

General Session

8:00am – 8:05am

Welcome Remarks

8:05am – 8:15am

Presentation of the Alfred J. Rauschman Memorial Award

8:15am – 8:45am

Participants

Jay Clayton

8:45am – 10:00am

Participants

Merri Jo Gillette, H. Rodgin Cohen, Bari M. Havlik, Morris Morgan, Brett Redfearn

Moderator

Merri Jo Gillette

Deputy General Counsel

Edward Jones

Merri Jo Gillette’s Biography

Panelists

H. Rodgin Cohen

Senior Chairman

Sullivan & Cromwell LLP

H. Rodgin Cohen’s Biography

Bari M. Havlik

Executive Vice President, Member Supervision

FINRA

Bari M. Havlik’s Biography

Morris Morgan

Senior Deputy Comptroller for Large Bank Supervision

Office of the Comptroller of the Currency

Morris Morgan’s Biography

Brett Redfearn

Director, Division of Trading and Markets

U.S. Securities and Exchange Commission

Brett Redfearn’s Biography

10:30am – 11:45am

TA: Litigating with Current Employees – Risks, Strategies and Best Practices
TA: Litigation Update – Regulatory and Criminal
TA: Swaps and OTC Derivatives

Participants

Zoe Strickland

Moderator

Zoe Strickland

Managing Director, Global Chief Privacy Officer

JPMorgan Chase & Co.

Zoe Strickland’s Biography

Participants

Aaron Furniss

Moderator

Aaron Furniss

Vice President, Associate General Counsel

Raymond James Financial, Inc.

Aaron Furniss’s Biography

Participants

Jennifer Grego

Moderator

Jennifer Grego

Managing Director, Wealth Management Compliance

Morgan Stanley

Jennifer Grego’s Biography

Participants

Patrick Chavez

Moderator

Patrick Chavez

Chief Privacy Officer & Associate General Counsel / Leader, RIM Program

Edward D. Jones & Co., L.P.

Patrick Chavez’s Biography

Participants

Scott Flood

Moderator

Scott Flood

Managing Director & Senior Deputy General Counsel, Markets & Banking

Citigroup Global Markets Inc.

Scott Flood’s Biography

Participants

David Markowitz

Moderator

David Markowitz

Managing Director

Goldman, Sachs & Co.

David Markowitz’s Biography

Participants

Raymond Abbott

Moderator

Raymond Abbott

Managing Director & Associate General Counsel for Global Research

Bank of America Merrill Lynch

Raymond Abbott’s Biography

TA: Ask FINRA: A Panel of Senior FINRA Officials Responds to Your Questions

12:15pm – 1:30pm

Participants

Anthony DeRose

Moderator

Anthony DeRose

Managing Director

Deutsche Bank

Anthony DeRose’s Biography

Participants

Nate Saint Victor

Moderator

Nate Saint Victor

Executive Director, Legal & Compliance

Morgan Stanley

Nate Saint Victor’s Biography

Participants

Patricia Cowart

Moderator

Patricia Cowart

Senior Company Counsel

Wells Fargo Advisors

Patricia Cowart’s Biography

Participants

Mei Lin Kwan-Gett

Moderator

Mei Lin Kwan-Gett

Deputy General Counsel & Head of Global Litigation

Citigroup Inc.

Mei Lin Kwan-Gett’s Biography

Participants

Molly Deere

Moderator

Molly Deere

Vice President & Assistant General Counsel

Stephens Inc.

Molly Deere’s Biography

Participants

Ryan Taylor

Moderator

Ryan Taylor

Managing Director, Head of Dodd-Frank, Volcker Compliance

RBC Capital Markets, LLC

Ryan Taylor’s Biography

Participants

Nancy Swift

Moderator

Nancy Swift

Deputy Chief Compliance Officer, Institutional & Brokerage

Wells Fargo & Company

Nancy Swift’s Biography

Participants

Helene Jepson

Moderator

Helene Jepson

Senior Vice President, Enterprise Chief Compliance Officer

First Republic Bank

Helene Jepson’s Biography

TB: Virtual Currencies – Tales from the “Crypt”

Participants

Julie Hobbs

Moderator

Julie Hobbs

Managing Director and General Counsel of Morgan Stanley Private Bank, National Association

Morgan Stanley

Julie Hobbs’s Biography

Participants

Stacey Schmidt

Moderator

Stacey Schmidt

Vice President and Associate General Counsel, Employment Law Group

Fidelity Brokerage Services LLC

Stacey Schmidt’s Biography

1:30pm – 2:30pm

Women’s Luncheon

3:00pm – 5:00pm

SIFMA C&L Community Service Event

6:00pm – 8:30pm

Networking Reception

10:00pm – 12:00am

After Hours Reception

7:30am – 12:45pm

Registration Desk Hours

7:30am – 11:30am

Exhibition Hall Hours

7:30am – 8:30am

Networking Breakfast

8:30am – 8:35am

Closing Remarks

8:35am – 9:35am

Participants

Madeleine K. Albright

Speaker

Madeleine K. Albright

Chair of Albright Stonebridge Group

Albright Capital Management LLC

Madeleine K. Albright’s Biography

9:55am – 11:10am

Participants

Grace Ang

Moderator

Grace Ang

Executive Director, IT Contracting & Shared Services Legal

UBS AG

Grace Ang’s Biography

Participants

Rich Link

Moderator

Rich Link

Chief Compliance Officer

Edward D. Jones & Co., L.P.

Seminar Co-Chairperson

Rich Link’s Biography

WA: Privilege and Work Product Protections: Ethical Considerations for In-House Teams – ETHICS CLE
WA: Compliance Coverage of Non-Revenue Areas (Finance, Technology, OPS)

Participants

Jill Ostergaard

Moderator

Jill Ostergaard

Partner and CCO

Exos TFP

Jill Ostergaard’s Biography

Participants

Maria Douvas

Moderator

Maria Douvas

Vice President & Managing Director

RBC

Maria Douvas’s Biography

Participants

Robert O’Connor, Kevin J. Campion, Alina Casner

Moderator

Robert O’Connor

Managing Director

Morgan Stanley

Robert O’Connor’s Biography

Panelists

Alina Casner

Managing Director & Head of Markets

BNY Mellon

Alina Casner’s Biography

Participants

Gary Rosen

Moderator

Participants

Mark P. Fisher

Moderator

Mark P. Fisher

Senior Vice President, General Counsel and Corporate Secretary

Stifel Financial Corp.

Mark P. Fisher’s Biography

Participants

Bruce Spiegler

Moderator

Bruce Spiegler

Head of Regulatory Affairs & Policy

Jefferies LLC

Bruce Spiegler’s Biography

WA: Civil Litigation: Antitrust and Derivatives

11:10am – 11:30am

Networking Break

11:30am – 12:45pm

Participants

Mark Keene

Moderator

Mark Keene

Managing Director & Associate General Counsel Legal

Bank of America Corporation

Mark Keene’s Biography

Participants

Rose Battaglia

Speaker

Rose Battaglia

Managing Director and Global Chief Operating Officer

Deutsche Bank AG

Rose Battaglia’s Biography

WB: Cybersecurity Update: Combating an Evolving Threat

Participants

Michele Siano

Moderator

Participants

Charlie George

Moderator

Charlie George

Senior Vice President, Group Financial Crimes Manager

Wells Fargo Bank

Charlie George’s Biography

Participants

Howard R. Plotkin

Moderator

12:45pm – 12:45pm

Seminar Adjourns