Overview

The 2021 C&L Virtual Forum, hosted by SIFMA’s Compliance & Legal Society, features 23 live sessions over three packed days. In addition, participate in our digital learning labs, virtual exhibit hall, lunch & learns and networking sessions with speakers and C&L Executive Committee Members.

You will be able to view all keynotes, featured panels and concurrent sessions at the times listed or view at your leisure starting July 21st until August 23rd.  You will be eligible to receive CLE credit during the on-demand period where noted with CLE. Explore the full program below to customize your experience today.

SIFMA C&L Virtual Forum 2021 Program

A gathering for regulators and industry professionals to exchange ideas and empower success

Date

July 20 - July 22, 2021

Location

Virtual

Hosted by

SIFMA C&L Society

Overview

The 2021 C&L Virtual Forum, hosted by SIFMA’s Compliance & Legal Society, features 23 live sessions over three packed days. In addition, participate in our digital learning labs, virtual exhibit hall, lunch & learns and networking sessions with speakers and C&L Executive Committee Members.

You will be able to view all keynotes, featured panels and concurrent sessions at the times listed or view at your leisure starting July 21st until August 23rd.  You will be eligible to receive CLE credit during the on-demand period where noted with CLE. Explore the full program below to customize your experience today.

Program

10:00am – 11:00am

Visit our Virtual Exhibit Hall to learn about the latest specialized products and services in Compliance & Legal, and to discover live thought leadership sessions presented via C&L Digital Learning…

Visit our Virtual Exhibit Hall to learn about the latest specialized products and services in Compliance & Legal, and to discover live thought leadership sessions presented via C&L Digital Learning Labs, a 15-minute presentations hosted by representatives from our sponsoring firms and packed with need-to-know information.

 

10:00am – 10:15am

"Amidst an ever-evolving environment—including our new hybrid or remote-first work environment—firms must adopt an agile, forward-thinking mindset to ensure they proactively address the compliance challenges of the future. This session…

“Amidst an ever-evolving environment—including our new hybrid or remote-first work environment—firms must adopt an agile, forward-thinking mindset to ensure they proactively address the compliance challenges of the future.

This session will share practical, actionable strategies that can be implemented at each level of the organization to drive a compliance-led mindset:

Maintain effective programs and controls, while addressing regulatory obligations and pandemic-related adjustments. With digital client engagement now viewed as table stakes, vigilance and ongoing review is more critical than ever.
Drive efficiency through a tailored lexicon and prioritized review processes, in order to maximize compliance hygiene and streamline efficiency
Develop creative, engaging content that bridges the gap until in-person meetings resume, but that also thrives in a hybrid post-pandemic world ”

Participants

Iain Duke-Richardet

Speaker

Iain Duke-Richardet

Compliance Strategy Principal

Hearsay Systems

Iain Duke-Richardet’s Biography

10:20am – 10:35am

Social activism drives both opportunity and an emerging risk considerations for most institutions. The levers used to effectuate change can include social media campaigns, shareholder investments and board queries/resolutions, political…

Social activism drives both opportunity and an emerging risk considerations for most institutions. The levers used to effectuate change can include social media campaigns, shareholder investments and board queries/resolutions, political activism, and even litigation. Recent US Senate Banking Committee hearings highlighted the risk impact to financial institutions. Explore with us the intersection of corporate strategic aspirations/brand strategy with compliance/operations risk, counterparty risk, and litigation risk in the current environment:
• Vendor/ Counter Party risks: the impact of increasing benefits corporations certifications
• Litigation tactics: Leveraging corporate disclosures as a “smoking gun” and seeking to holding corporations to account for aspirational statements and operations targets
• Case Study – Civil actions against “Big Plastics”…can it happen to this sector?
• Mitigating the Risk: Can international NGO or governmental accreditations mitigate risk?
• Products and Services risk considerations: Aging populations, equity considerations, achieving aspirational goals

Participants

Douglas A. Thompson, Ariel White-Tsimikalis

Speakers

Douglas A. Thompson

Partner, Los Angeles

Bryan Cave Leighton Paisner

Douglas A. Thompson’s Biography

Ariel White-Tsimikalis

Partner, Banking Sector Co-Leader

Bryan Cave Leighton Paisner

Ariel White-Tsimikalis’s Biography

10:40am – 10:55am

Communications compliance technology can help firms navigate today's regulatory and risk landscape. As technology and business needs constantly evolve, identifying and mitigating the risks of your remote workforce helps firms…

Communications compliance technology can help firms navigate today’s regulatory and risk landscape. As technology and business needs constantly evolve, identifying and mitigating the risks of your remote workforce helps firms avoid costly fines and reputational damage, and gain strategic insight on how to tackle communications oversight.

Participants

Aaron Nelson

Speaker

Aaron Nelson

Senior Solutions Consultant

Smarsh

Aaron Nelson’s Biography

11:00am – 11:05am

Participants

Lauri Scoran

Speaker

Lauri Scoran

SIFMA's C&L Virtual Forum Chair

Chief Compliance Officer

Jefferies LLC

Lauri Scoran’s Biography

11:05am – 11:35am

Participants

Kenneth E. Bentsen, Jr., Commissioner Elad L. Roisman

Moderator

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Speaker

11:45am – 12:45pm

Participants

Michelle Bryan Oroschakoff, Stacey Friedman, Eric F. Grossman, Christopher Lewis, Ellen Patterson

Moderator

Michelle Bryan Oroschakoff

Managing Director, Chief Legal Officer

LPL Financial LLC

Michelle Bryan Oroschakoff’s Biography

Panelists

Stacey Friedman

Executive Vice President and General Counsel

J.P. Morgan Securities LLC

Stacey Friedman’s Biography

Eric F. Grossman

Managing Director and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

Ellen Patterson

Senior Executive Vice President and General Counsel

Wells Fargo

Ellen Patterson’s Biography

1:00pm – 2:00pm

Join us for a One-Hour, Live Streamed, Lunch & Learn Session, hosted by SIFMA’s C&L Virtual Forum Diamond Sponsors.  Each Lunch & Learn Session will offer an opportunity to listen…

Join us for a One-Hour, Live Streamed, Lunch & Learn Session, hosted by SIFMA’s C&L Virtual Forum Diamond Sponsors.  Each Lunch & Learn Session will offer an opportunity to listen to thought leadership on a topical subject, hosted on a Zoom platform and can potentially offer CLE Credits.  SIFMA will also host a raffle drawing after each lunch and learn for participants who attend the entire session.  Additionally, Lunch & Learn Sessions are eligible for gamification points.  Space is limited to 50 per lunch & learn and it is first-come at the time of the session. More details to follow. Stay tuned!

 

Special Purpose Acquisition Corporations (SPACs) have exploded in recent years, far overtaking traditional IPOs as a means of going public. The pace of so-called de-SPAC transactions has also accelerated, as…

Special Purpose Acquisition Corporations (SPACs) have exploded in recent years, far overtaking traditional IPOs as a means of going public. The pace of so-called de-SPAC transactions has also accelerated, as has the pace of lawsuits asserting securities fraud in connection with either the SPAC formation, the de-SPAC transaction, or sometimes even both.

The panel will focus on SPAC litigation trends and highlight the following topics:

• SEC commentary and enforcement activity
• The applicability (or not) of the PSLRA statutory safe-harbor to the de-SPAC
• Current state of case law
• Best practices to reduce litigation exposures

Participants

Alan I. Annex, Elaine C. Greenberg, Daniel J. Tyukody

Panelists

Elaine C. Greenberg

Shareholder

Greenberg Traurig

Elaine C. Greenberg’s Biography

Daniel J. Tyukody

Shareholder

Greenberg Traurig

Daniel J. Tyukody’s Biography

Join us for a discussion about the current SEC focus on ESG and sustainability, including key observations from the Division of Examinations' Risk Alert on ESG Investing and thoughts about…

Join us for a discussion about the current SEC focus on ESG and sustainability, including key observations from the Division of Examinations’ Risk Alert on ESG Investing and thoughts about the Division of Enforcement’s new Climate and ESG Task Force.

We will explore how investment advisers and broker-dealers can manage SEC examination and enforcement risk in this area and will cover:
• Defining and disclosing ESG practices;
• Integrating ESG factors into the portfolio management and proxy voting process;
• Avoiding “greenwashing” and claims of inaccurate or misleading advertising;
• Developing appropriate policies, procedures, and internal controls; and
• Anticipating potential enforcement actions based on disclosure, materiality, sales practices, and fiduciary duty.

2:00pm – 3:30pm

Break

3:30pm – 4:30pm

Concurrent Sessions: View Live Today or On-Demand (On-Demand viewing will start the following day and will be available to view at your leisure until August 20. CLE Credit will also…

Concurrent Sessions: View Live Today or On-Demand (On-Demand viewing will start the following day and will be available to view at your leisure until August 20. CLE Credit will also be available for on demand viewing.

Evolving standards of care Regulatory focus areas Complex and new products Cyber, privacy & remote working

  • Evolving standards of care
  • Regulatory focus areas
  • Complex and new products
  • Cyber, privacy & remote working

Participants

Anne Tennant, Carrie Bechtold, Andrew Sidman, William St. Louis, Corin R. Swift

Moderator

Anne Tennant

Managing Director & General Counsel of Wealth Management

Morgan Stanley

Anne Tennant’s Biography

Panelists

Carrie Bechtold

Managing Counsel

Wells Fargo

Carrie Bechtold’s Biography

William St. Louis

Senior Vice President and Firm Group Leader

FINRA

William St. Louis’s Biography

Challenges faced in 2020 Planning for the future - Technology/Artificial Intelligence/Robotics/Data Future role of Compliance:  What should we focus on in a return to office/hybrid staffing model? Managing a global…

  • Challenges faced in 2020
  • Planning for the future – Technology/Artificial Intelligence/Robotics/Data
  • Future role of Compliance:  What should we focus on in a return to office/hybrid staffing model?
  • Managing a global crisis from a financial services perspective (How prepared are we?)
  • Compliance Officers of the Future – Skills, acumen and diversity considerations

Participants

Nancy Swift, MaryBeth Findlay, Julian Moore, Michael Richman, Jennifer Taylor, Raul F. Yanes

Moderator

Nancy Swift

Head of Enterprise Compliance

Fidelity Investments

Nancy Swift’s Biography

Panelists

MaryBeth Findlay

Managing Director, CRCO Division and Chief Compliance Officer, Credit Suisse Securities (USA) LLC

Credit Suisse

MaryBeth Findlay’s Biography

Michael Richman

Chief Compliance Officer

Goldman Sachs

Michael Richman’s Biography

Jennifer Taylor

Chief Compliance Officer – Institutional Clients Group Independent Compliance Risk Management (ICRM)

Citi

Jennifer Taylor’s Biography

Raul F. Yanes

Chief Compliance Officer

Morgan Stanley

Raul F. Yanes’s Biography

Evolving regulatory expectations and exam priorities from SEC, FINRA, and other regulators Era of heightened risk related to geopolitical issues, pandemic, supply shortages, etc. NY Fed “pre-mortem analysis” warning of…

  • Evolving regulatory expectations and exam priorities from SEC, FINRA, and other regulators
  • Era of heightened risk related to geopolitical issues, pandemic, supply shortages, etc.
  • NY Fed “pre-mortem analysis” warning of potential systemic impact from cyberattack on financial market participants
  • Best practices for insider threat programs
  • Third party risk management

Participants

Jodi Pinedo, Nicole Friedlander, Pablo Martinez, Thomas F. Price, Andrew Tannenbaum

Moderator

Jodi Pinedo

Director & Senior Managing Counsel

Pershing LLC, a BNY Mellon Company

Jodi Pinedo’s Biography

Panelists

Pablo Martinez

Head of the Financial Intelligence Unit and Enterprise Business Resiliency

Fidelity Investments

Pablo Martinez’s Biography

Thomas F. Price

Managing Director, Technology, Operations, and Business Continuity

SIFMA

Thomas F. Price’s Biography

Andrew Tannenbaum

Managing Director, Global Head of Cyber, Data and IP Legal

Barclays

Andrew Tannenbaum’s Biography

Event Driven Litigation in the Face of COVID—In Re Carnival Corp Securities Litigation, Force Majeure Issues and More Ford Motor Company v. Montana Eighth Judicial District Court; the “Relate to”…

  • Event Driven Litigation in the Face of COVID—In Re Carnival Corp Securities Litigation, Force Majeure Issues and More
  • Ford Motor Company v. Montana Eighth Judicial District Court; the “Relate to” Standard and its Impact on Pending Antitrust Actions
  • Class Certification and the Presumption of Reliance– Goldman Sachs Group v. Arkansas Teacher Retirement System
  • A Focus on ESG—Derivative Actions, Section 220 Demands and Securities Class Actions
  • SPACs and the Intersecting Interests of Sponsors, Targets, Investors and Regulators
  • A Syndicated Term Loan is Not a Security—Millennium

Participants

Mary Reisert, Adam Hakki, Brad Karp, Jay Kasner, Sharon Nelles, Jayant W. Tambe

Participants

Felicia Rector, Kyle Brandon, Matthew Danton, Annie Hsu, Colin D. Lloyd

Moderator

Felicia Rector

SIFMA C&L Executive Committee Member

Felicia Rector’s Biography

Panelists

Kyle Brandon

Managing Director, Head of Derivatives Policy

SIFMA

Kyle Brandon’s Biography

Matthew Danton

Director

Barclays

Matthew Danton’s Biography

Annie Hsu

Managing Director, Head of Swap Dealer Compliance

Jefferies

Annie Hsu’s Biography

Participants

Mary Abbajay

Speaker

Mary Abbajay

Organizational Management and Leadership Expert; Best-Selling Author

Mary Abbajay’s Biography

4:40pm – 5:15pm

Join speakers, SIFMA's C&L Executive Committee and Future Leaders in smaller networking sessions to talk about today’s sessions.  These sessions will take place in a Zoom room, space is limited…

Join speakers, SIFMA’s C&L Executive Committee and Future Leaders in smaller networking sessions to talk about today’s sessions.  These sessions will take place in a Zoom room, space is limited to 25 per networking topic and it is first-come at the time of the session.

Participants

Jodi Pinedo, Joan Schwartz, Christopher K. Williams

Speakers

Jodi Pinedo

Director & Senior Managing Counsel

Pershing LLC, a BNY Mellon Company

Jodi Pinedo’s Biography

Christopher K. Williams

Senior Legal Counsel

Fidelity Investments

Christopher K. Williams’s Biography

Join speakers, SIFMA’s C&L Executive Committee and Future Leaders in smaller networking sessions to talk about today’s sessions.  These sessions will take place in a Zoom room, space is limited…

Join speakers, SIFMA’s C&L Executive Committee and Future Leaders in smaller networking sessions to talk about today’s sessions.  These sessions will take place in a Zoom room, space is limited to 25 per networking topic and it is first-come at the time of the session.

Participants

Barbara Armeli, Aubrey Cook, MaryBeth Findlay

Speakers

Barbara Armeli

Chief Compliance Officer

Charles Schwab & Co., Inc

Barbara Armeli’s Biography

MaryBeth Findlay

Managing Director, CRCO Division and Chief Compliance Officer, Credit Suisse Securities (USA) LLC

Credit Suisse

MaryBeth Findlay’s Biography

10:00am – 11:00am

Visit our Virtual Exhibit Hall to learn about the latest specialized products and services in Compliance & Legal, and to discover live thought leadership sessions presented via C&L Digital Learning…

Visit our Virtual Exhibit Hall to learn about the latest specialized products and services in Compliance & Legal, and to discover live thought leadership sessions presented via C&L Digital Learning Labs, a 15-minute presentations hosted by representatives from our sponsoring firms and packed with need-to-know information.

10:00am – 10:15am

Overview of the Whistleblower Rule: Drafting Internal Policies and Procedures, Document Preservation, Who Should conduct the Investigation, Drafting the Final Report

Overview of the Whistleblower Rule: Drafting Internal Policies and Procedures, Document Preservation, Who Should conduct the Investigation, Drafting the Final Report

Participants

Stephen J. Shine

Speaker

10:20am – 10:35am

There is little doubt that COVID-19 has had huge impacts on our supply chain, and the effects can be felt by the increase in prices and availability of goods. While…

There is little doubt that COVID-19 has had huge impacts on our supply chain, and the effects can be felt by the increase in prices and availability of goods. While it is uncertain if inflation is here to stay or transitory, the undefined outlook of interest rates, coupled with massive leverage extension, and increased capital supply should drive firms to better understand the sufficiency of controls they have to manage a change in the economy.

Participants

Suzy Auletta, John McDermott, Douglas Wilbert

Speakers

Suzy Auletta

Senior Vice President and Chief Compliance Officer

Raymond James Financial, Inc.

Suzy Auletta’s Biography

John McDermott

Director

Protiviti

John McDermott’s Biography

Douglas Wilbert

Managing Director

Protiviti

Douglas Wilbert’s Biography

10:40am – 10:55am

Unforeseen calamities have exposed weaknesses, requiring firms to take a different approach to sustain long-term organizational resilience and growth. These developments have also significantly impacted the way firms approach and…

Unforeseen calamities have exposed weaknesses, requiring firms to take a different approach to sustain long-term organizational resilience and growth. These developments have also significantly impacted the way firms approach and think about trader surveillance. In this session, we will discuss –

Recent developments and approaches to Operational Resilience, including:
1) Emerging expectations from the regulators
2) Operating models and frameworks
3) Scenario planning

Market trends in the trade surveillance space, including:
1) The rationalization of surveillance portfolios
2) Tuning and optimization of surveillance patterns
3) Risk ranking of alerts”

Participants

Brian Hart, Paul Fagone

Speakers

Brian Hart

Principal, Financial Services Risk, Regulatory and Compliance Network Leader

KPMG

Brian Hart’s Biography

Paul Fagone

Principal, Advisory, FS Regulatory &Compliance Risk

KPMG

Paul Fagone’s Biography

11:00am – 11:05am

Participants

Michelle Bryan Oroschakoff

Speaker

Michelle Bryan Oroschakoff

Managing Director, Chief Legal Officer

LPL Financial LLC

Michelle Bryan Oroschakoff’s Biography

11:05am – 11:35am

Participants

Jacqueline LiCalzi, Carla Harris

Moderator

Jacqueline LiCalzi

Managing Director, Global Head of Regulatory Relations

Morgan Stanley

Jacqueline LiCalzi’s Biography

Speaker

Carla Harris

Vice Chairman, Managing Director

Morgan Stanley

Carla Harris’s Biography

11:45am – 12:00pm

Participants

Rich Link, Penny Pennington

Moderator

Rich Link

Chief Compliance Officer

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

Rich Link’s Biography

Speaker

Penny Pennington

Managing Partner

Edward Jones

Penny Pennington’s Biography

12:05pm – 1:05pm

Concurrent Sessions: View Live Today or On-Demand (On-Demand viewing will start the following day and will be available to view at your leisure until August 20. CLE Credit will also…

Concurrent Sessions: View Live Today or On-Demand (On-Demand viewing will start the following day and will be available to view at your leisure until August 20. CLE Credit will also be available for on demand viewing.

Elephant in the room – why is DEI progress so slow? Ethical issues for collecting and USING data to advance DEI (ABA Resolution 113) Paths for Advancement and Senior Leadership…

  • Elephant in the room – why is DEI progress so slow?
  • Ethical issues for collecting and USING data to advance DEI (ABA Resolution 113)
  • Paths for Advancement and Senior Leadership
  • Joint Development of Diverse Talent – Outside Counsel Engagement

Participants

Alita Wingfield, Michael Freedman, Pamela Gibbs, Sandra Dawn Grannum, Autumn Hunter

Moderator

Alita Wingfield

Managing Director

Morgan Stanley

Alita Wingfield’s Biography

Panelists

Michael Freedman

Senior Vice President, Associate General Counsel

LPL Financial LLC

Michael Freedman’s Biography

Pamela Gibbs

Director, Office of Minority and Women Inclusion (OMWI)

U.S. Securities and Exchange Commission

Pamela Gibbs’s Biography

Autumn Hunter

Associate General Counsel & Director

Bank of America Corporation

Autumn Hunter’s Biography

Evolving Regulatory Expectations for Compliance Programs Compliance Challenges in a Hybrid Work Environment Effective Escalation Employee Oversight and Evolving Monitoring Expectations

  • Evolving Regulatory Expectations for Compliance Programs
  • Compliance Challenges in a Hybrid Work Environment
  • Effective Escalation
  • Employee Oversight and Evolving Monitoring Expectations

Participants

Mike Silva, Jane Morril, Edward P. O’Keefe, Edvard S. Olsen, Vince Perrone

Moderator

Mike Silva

Chief Compliance Officer Americas

UBS

Mike Silva’s Biography

Panelists

Jane Morril

Chief Operating Officer and Head of Enterprise Compliance, Global Compliance Department

Morgan Stanley

Jane Morril’s Biography

Edvard S. Olsen

Americas Chief Compliance Officer

Barclays

Edvard S. Olsen’s Biography

Changes to surveillance over the last year due to the remote work environment and evolving expectations What are the key components of a great surveillance program? How are Artificial Intelligence,…

  • Changes to surveillance over the last year due to the remote work environment and evolving expectations
  • What are the key components of a great surveillance program?
  • How are Artificial Intelligence, Machine Learning and Data Analytics Tools being used in Financial Services?
  • Regulatory Guidance on Using Social Media
  • Recent Disciplinary Actions Involving Electronic Communications and Surveillance
  • Challenges with Supervision and Record Retention of Communication Apps
  • Managing Increasing Digitization in the Workplace

Participants

John O’Neill, Stephen Bard, Howard Kramer, Chris Sherlock, Amy Watson

Moderator

John O’Neill

Executive Vice President and Chief Compliance Officer

LPL Financial LLC

John O’Neill’s Biography

Panelists

Stephen Bard

Senior Vice President, WIM Director of Social Media & Communications Compliance

Wells Fargo Wealth & Investment Management

Stephen Bard’s Biography

Chris Sherlock

Vice President – Surveillance & Data Analytics

Ameriprise Financial, Inc.

Chris Sherlock’s Biography

Amy Watson

Managing Director, Federation Compliance and Executive Office Compliance

Goldman Sachs & Co.

Amy Watson’s Biography

The benefits and drawbacks of negotiating in a virtual environment vs. in person Virtual and In Person: best practices, strategies and tactics from opening through closure Developing rapport, persuasion and…

  • The benefits and drawbacks of negotiating in a virtual environment vs. in person
  • Virtual and In Person: best practices, strategies and tactics from opening through closure
  • Developing rapport, persuasion and effective communication in a virtual environment
  • Virtual Mediation, bi-lateral discussions and other tools
  • Ethical issues in negotiation:  good faith, conflicts, confidentiality
  • The impact of diversity (or lack thereof) on negotiations

Participants

Joe Salama, Kathy Adams, Lisa Bertain, Scott Musoff, Robin Nunn

Moderator

Joe Salama

Global Head of Anti-Financial Crimes Group

Deutsche Bank AG

Joe Salama’s Biography

Panelists

Lisa Bertain

Deputy General Counsel

Edward Jones

Lisa Bertain’s Biography

Scott Musoff

Partner, Securities Litigation; Complex Litigation and Trials

Skadden, Arps, Slate, Meagher & Flom LLP

Scott Musoff’s Biography

Mutual fund and ETF recommendations C Share holdings and conversions to A Shares Unit Investment Trusts A Share recommendations in comparison to Passive/Active ETF shares Leveraged and Inverse ETFs 529…

  • Mutual fund and ETF recommendations
    • C Share holdings and conversions to A Shares
    • Unit Investment Trusts
    • A Share recommendations in comparison to Passive/Active ETF shares
    • Leveraged and Inverse ETFs
    • 529 plans and differing share classes
  • Managed accounts versus brokerage accounts
    • Supervising the account type recommendation and validating on an ongoing basis
    • Third party management versus financial advisor discretion
    • Documenting the value provided for the investment advice fee paid
    • Holding concentration limits
  • Annuities Recommendations – riders and share classes
    • Which to recommend (Variable, Structured, Fixed Rate, Fixed Indexed)
    • Income riders
    • Share class differences
  • Alternative investments for retail clients
    • For which clients are these appropriate
    • What concentration limits for such products

Participants

Mike Burton, John V. Ayanian, Christa Graverson, Dina Starace

Moderator

Mike Burton

Senior Vice President & Assistant General Counsel

Ameriprise Financial

Mike Burton’s Biography

Panelists

Christa Graverson

Deputy Chief Compliance Officer

Robert W. Baird & Co.

Christa Graverson’s Biography

Dina Starace

Executive Director and Head of Field Compliance and Testing

UBS

Dina Starace’s Biography

The session is designed for participants to grapple with real organizational problems as they learn the dynamic concepts and skills of effective coaching.  As they deal with these issues they…

The session is designed for participants to grapple with real organizational problems as they learn the dynamic concepts and skills of effective coaching.  As they deal with these issues they explore the assumptions embedded in their view of the problem, and how these assumptions often drive their thinking and behavior.  By learning to actively surface and test their thinking and the logic inherent in their views, participants can greatly enhance their organizational and professional effectiveness, and effectively tackle problems that would otherwise go unaddressed or unsolved.

Participants will increase their ability to …

  • Identify organizational, team, and interpersonal situations that they find most problematic and recognize why their best efforts to deal with these situations are often ineffective.
  • Develop skills for having responsibly robust conversations with people in higher positions of authority so that critical bottom-up communication remains open and productive.
  • Foster conditions that will enable people to act with high levels of candor, respect, and responsibility as they engage difficult, complex issues.
  • Significantly reduce destructive finger pointing and blaming when dealing with tough problems and issues, and keep people focused on the relevant issues.
  • Apply new action models for advocacy and inquiry to real business issues.

Participants

Tony Herrera, Ed.D.

Speaker

Tony Herrera, Ed.D.

Senior Vice of Executive Education

LPL Financial LLC

Tony Herrera, Ed.D.’s Biography

1:10pm – 2:10pm

Join us for a One-Hour, Live Streamed, Lunch & Learn Session, hosted by SIFMA’s C&L Virtual Forum Diamond Sponsors.  Each Lunch & Learn Session will offer an opportunity to listen…

Join us for a One-Hour, Live Streamed, Lunch & Learn Session, hosted by SIFMA’s C&L Virtual Forum Diamond Sponsors.  Each Lunch & Learn Session will offer an opportunity to listen to thought leadership on a topical subject, hosted on a Zoom platform and can potentially offer CLE Credits.  SIFMA will also host a raffle drawing after each lunch and learn for participants who attend the entire session.  Additionally, Lunch & Learn Sessions are eligible for gamification points.  Space is limited to 50 per lunch & learn and it is first-come at the time of the session. More details to follow. Stay tuned!

Join us for a discussion on the following topics: SEC, FINRA, and DOJ Rules and Guidance SEC's cooperation program FINRA Rule 4530(b), Regulatory Notice 08-70 and 19-23 DOJ guidance on…

Join us for a discussion on the following topics:

  • SEC, FINRA, and DOJ Rules and Guidance
    • SEC’s cooperation program
    • FINRA Rule 4530(b), Regulatory Notice 08-70 and 19-23
    • DOJ guidance on cooperation
  • Self-Reporting Initiatives
    • SEC (Municipalities Continuing Disclosure Cooperation, Customer Protection Rule, Share Class Selection Disclosure)
    • FINRA (Mutual Fund Share Class Waiver and 529 Plan Share Class Initiative)
  • Practical considerations for firms
  • Trends in self-reported settlements

Participants

Ariel Gursky, Anita Bandy, Sandra Moser, Karen O’Toole, Alexander B. White

Moderator

Speakers

Anita Bandy

Associate Director

Securities and Exchange Commission

Anita Bandy’s Biography

Sandra Moser

Partner

Morgan Lewis

Sandra Moser’s Biography

Karen O’Toole

Senior Vice President & Deputy General Counsel

Fidelity Investments

Karen O’Toole’s Biography

Alexander B. White

Assistant General Counsel & Senior Vice President

Bank of America Corporation

Alexander B. White’s Biography

The past decade has seen the proliferation of text and app-based messaging. The COVID-19 pandemic has only accelerated the trend as employees increasingly turn to digital means of communication for…

The past decade has seen the proliferation of text and app-based messaging. The COVID-19 pandemic has only accelerated the trend as employees increasingly turn to digital means of communication for business-related matters in a global remote work environment. Financial firms should take note of the legal risks associated with employees using text and app-based messaging, including the risk of ignoring red flags that employees are using such means of communication. This presentation will feature a discussion of the legal landscape and practical guidance for minimizing regulatory risks.  The webinar will include updates from U.S. regulators, such as the Financial Industry Regulatory Authority (FINRA), and U.K. regulators, such as the Financial Conduct Authority.

Participants

Lisa Bebchick, Shannon Capone Kirk, Judith Seddon

Panelists

We will examine market developments and regulatory considerations in a range of instruments designed to facilitate the global transition to a lower-carbon economy.  The session will cover carbon markets in…

We will examine market developments and regulatory considerations in a range of instruments designed to facilitate the global transition to a lower-carbon economy.  The session will cover carbon markets in various jurisdictions as well as listed and OTC derivatives linked to such markets.  We will also discuss the rise of newer types of sustainability-related derivatives, including instruments designed to mitigate climate litigation risk and transactions with payment terms linked to ESG KPIs.

2:10pm – 3:30pm

Break

3:30pm – 4:30pm

The Market Regulation surveillance and examination programs FINRA’s examination and risk monitoring programs Rulemaking initiatives Enforcement priorities

  • The Market Regulation surveillance and examination programs
  • FINRA’s examination and risk monitoring programs
  • Rulemaking initiatives
  • Enforcement priorities

Participants

Ben A. Indek, Ornella Bergeron, Robert L.D. Colby, Stephanie Dumont, Jessica Hopper

Moderator

Panelists

Ornella Bergeron

Senior Vice President, Member Supervision

FINRA

Ornella Bergeron’s Biography

Robert L.D. Colby

Chief Legal Officer

FINRA

Robert L.D. Colby’s Biography

Stephanie Dumont

Executive Vice President and Head of Market Regulation and Transparency Services

FINRA

Stephanie Dumont’s Biography

Jessica Hopper

Executive Vice President and Head of Enforcement

FINRA

Jessica Hopper’s Biography

4:40pm – 5:10pm

Join speakers, SIFMA's C&L Executive Committee and Future Leaders in smaller networking sessions to talk about today’s sessions.  These sessions will take place in a Zoom room, space is limited…

Join speakers, SIFMA’s C&L Executive Committee and Future Leaders in smaller networking sessions to talk about today’s sessions.  These sessions will take place in a Zoom room, space is limited to 25 per networking topic and it is first-come at the time of the session.

Participants

Sara Carlesimo, John O’Neill, Mark Seffinger

Speakers

Sara Carlesimo

Director and Managing Counsel, Markets Legal

BNY Mellon

Sara Carlesimo’s Biography

John O’Neill

Executive Vice President and Chief Compliance Officer

LPL Financial LLC

John O’Neill’s Biography

Mark Seffinger

Deputy Chief Compliance Officer

LPL Financial LLC

Mark Seffinger’s Biography

Join speakers, SIFMA’s C&L Executive Committee and Future Leaders in smaller networking sessions to talk about today’s sessions.  These sessions will take place in a Zoom room, space is limited…

Join speakers, SIFMA’s C&L Executive Committee and Future Leaders in smaller networking sessions to talk about today’s sessions.  These sessions will take place in a Zoom room, space is limited to 25 per networking topic and it is first-come at the time of the session.

Participants

Joe Salama, Andrew Stemmer, Alexander B. White

Speakers

Joe Salama

Global Head of Anti-Financial Crimes Group

Deutsche Bank AG

Joe Salama’s Biography

Andrew Stemmer

Head of Litigation & Regulatory Enforcement - Americas

Deutsche Bank AG

Andrew Stemmer’s Biography

Alexander B. White

Assistant General Counsel & Senior Vice President

Bank of America Corporation

Alexander B. White’s Biography

10:00am – 10:45am

Visit our Virtual Exhibit Hall to learn about the latest specialized products and services in Compliance & Legal, and to discover live thought leadership sessions presented via C&L Digital Learning…

Visit our Virtual Exhibit Hall to learn about the latest specialized products and services in Compliance & Legal, and to discover live thought leadership sessions presented via C&L Digital Learning Labs, a 15-minute presentations hosted by representatives from our sponsoring firms and packed with need-to-know information.

 

10:10am – 10:25am

"— how a successful team must have members with multiple analytical and decision making styles — how a meaningful diversity, equity and inclusion program plays a critical role in proper…

“— how a successful team must have members with multiple analytical and decision making styles
— how a meaningful diversity, equity and inclusion program plays a critical role in proper team building, but is not, in and of itself, sufficient for long term success
— how successful teams must be replenished in order to avoid defaulting to decisions that may have worked in the past but may not be appropriate for the immediate problem. ”

Participants

Joseph Polizzotto

Speaker

Joseph Polizzotto

Senior Vice President, Strategy & Client Services

QuisLex, Inc.

Joseph Polizzotto’s Biography

10:30am – 10:45am

Activists, NGOs and investors are increasingly scrutinizing organizations’ commitment to their environmental, social and governance (ESG) goals and initiatives, and identifying gaps in their programming. As such, companies can no…

Activists, NGOs and investors are increasingly scrutinizing organizations’ commitment to their environmental, social and governance (ESG) goals and initiatives, and identifying gaps in their programming. As such, companies can no longer afford to stay on the sidelines, but must embrace the new world order. This digital learning lab will explore how financial institutions should throw out their old playbooks and adopt new ways of thinking in order to mitigate risk, strengthen resilience and match their ESG aspirations to action.

Participants

David Curran

Speaker

David Curran

Chief Sustainability and Environmental, Social and Governance (ESG) Officer

Paul, Weiss, Rifkind, Wharton & Garrison

David Curran’s Biography

10:45am – 10:50am

Participants

Lauri Scoran

Speaker

Lauri Scoran

SIFMA's C&L Virtual Forum Chair

Chief Compliance Officer

Jefferies LLC

Lauri Scoran’s Biography

10:50am – 11:20am

Participants

Ira D. Hammerman, Robert W. Cook

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Speaker

Robert W. Cook

President and Chief Executive Officer

FINRA

Robert W. Cook’s Biography

11:30am – 12:30pm

Participants

Barbara A. Stettner, Bari M. Havlik, Lisa Hopkins, Daniel Kahl, Rajal Patel

Moderator

Panelists

Bari M. Havlik

Executive Vice President, Member Supervision

FINRA

Bari M. Havlik’s Biography

Lisa Hopkins

President

North American Securities Administrators Association

General Counsel and Senior Deputy Commissioner of Securities

West Virginia State Auditor’s Office

Lisa Hopkins’s Biography

Daniel Kahl

Acting Director of the Division of Examinations

U.S. Securities and Exchange Commission

Daniel Kahl’s Biography

Rajal Patel

Associate Director, Market Participants Division

Commodity Futures Trading Commission

Rajal Patel’s Biography

12:35pm – 1:35pm

Concurrent Sessions: View Live Today or On-Demand (On-Demand viewing will start the following day and will be available to view at your leisure until August 20. CLE Credit will also…

Concurrent Sessions: View Live Today or On-Demand (On-Demand viewing will start the following day and will be available to view at your leisure until August 20. CLE Credit will also be available for on demand viewing

The Boundaries of Ethical Lawyering Ethical Considerations for Inhouse Counsel Ethics Issues in Government and Internal Investigations Hot Topics and Emerging Trends/Themes

  • The Boundaries of Ethical Lawyering
  • Ethical Considerations for Inhouse Counsel
  • Ethics Issues in Government and Internal Investigations
  • Hot Topics and Emerging Trends/Themes

Participants

Ellen Glaessner, Wayne Carlin, Cheryl L. Haas, Charlene Jones, Gregory Scanlon

Moderator

Ellen Glaessner

General Counsel

TD Bank

Ellen Glaessner’s Biography

Panelists

Charlene Jones

Director, Associate General Counsel

Citigroup Global Markets, Inc.

Charlene Jones’s Biography

Gregory Scanlon

Vice President & Associate General Counsel, Corporate Legal Services

Charles Schwab

Gregory Scanlon’s Biography

Examination Priorities tied to Reg BI as we pass the first anniversary Examination focus on AML and particularly Low Priced Securities and foreign accounts following the SEC Staff Bulletin and…

  • Examination Priorities tied to Reg BI as we pass the first anniversary
  • Examination focus on AML and particularly Low Priced Securities and foreign accounts following the SEC Staff Bulletin and FINRA Notice 21-03
  • Priorities tied to current events, such as platform availability despite high volumes, margin, short selling, digital currencies and other emerging areas of focus (FINRA Notice 21-12 & 21-15)
  • Focus areas connected with the remote working environment, including the additional use of technology and electronic communications as well as business continuity plans
  • Increased focus on cybersecurity and account takeovers give some of the increased account takeovers and FINRA Notice 21-14
  • Continued SEC focus on revenue sharing related to products and payment for order flow
  • Best Practices for successfully managing a regulatory examination
  • Any areas of difference for BDs and RIAs should be highlighted and while some topics aren’t directly applicable to an RIA, we might consider how the fiduciary duty impacts the decision making process

Participants

KC Waldron, Amy Greer, Scott M. Murray, Thomas Nelli, Claire Tafelski

Moderator

KC Waldron

Vice President Compliance Regulatory

Charles Schwab

KC Waldron’s Biography

Panelists

Amy Greer

Co-Chair, North America Financial Regulation and Enforcement Practice

Baker McKenzie LLP

Amy Greer’s Biography

Scott M. Murray

Senior Vice President, Director, Regulatory Compliance

Wells Fargo Advisors

Scott M. Murray’s Biography

Thomas Nelli

Senior Vice President and Regional Director

FINRA

Thomas Nelli’s Biography

Claire Tafelski

Deputy General Counsel

Stifel Financial Corp.

Claire Tafelski’s Biography

Initial Public Offering of SPAC Sponsor Promote:  existence of sponsor promote creates structural misalignment between sponsors and investors, structural reforms to eliminate misalignment (e.g. Ackman SPAC) Due Diligence and Disclosure: …

  • Initial Public Offering of SPAC
    • Sponsor Promote:  existence of sponsor promote creates structural misalignment between sponsors and investors, structural reforms to eliminate misalignment (e.g. Ackman SPAC)
    • Due Diligence and Disclosure:  conflicts/sponsor compensation, warrant accounting
  • SPAC Business Combination with Operating Company
    • Pitching/business selection
    • Managing internal conflicts associated with various roles available to firms
    • Managing conflicts between firm and SPACs raised by firm
    • Due diligence and disclosures in PIPE offering documents and proxy statement
    • Potential legal and/or regulatory liability

Participants

Adam Meshel, Gabriela Aguero, Darian Futrell, David Hennes, Patricia Sindel

Moderator

Adam Meshel

Managing Director & Global General Counsel

Citigroup Global Markets, Inc.

Adam Meshel’s Biography

Panelists

Gabriela Aguero

Director, Corporate Financing

FINRA

Gabriela Aguero’s Biography

Darian Futrell

Managing Director

Goldman Sachs

Darian Futrell’s Biography

Patricia Sindel

Managing Director

Credit Suisse

Patricia Sindel’s Biography

Litigation and Arbitration in the Wake of COVID-19:  Where Are We Now and Where Are We Heading? In the Zoom Where It Happens:  Conducting Effective Remote and Hybrid Investigations Navigating…

  • Litigation and Arbitration in the Wake of COVID-19:  Where Are We Now and Where Are We Heading?
  • In the Zoom Where It Happens:  Conducting Effective Remote and Hybrid Investigations
  • Navigating the Current Enforcement Landscape:  Maximizing Cooperation and Regulatory Good Will Virtually
  • Strategic Considerations for Data and Document Collection, Preservation and Confidentiality in the Remote Environment
  • Avoiding Traps for the Unwary with Witnesses and Remote Proceedings

Participants

Kevin M. Loftus, Patricia Canavan, Arian M. June, Tim Magee, Elizabeth Moum, Nader Salehi

Moderator

Kevin M. Loftus

Associate General Counsel and Head of Regulatory Affairs

Raymond James

Kevin M. Loftus’s Biography

Panelists

Patricia Canavan

Americas Head of Group Investigations

UBS AG

Patricia Canavan’s Biography

Arian M. June

Litigation Partner

Debevoise & Plimpton LLP

Arian M. June’s Biography

Tim Magee

Americas Deputy Head of Litigation, Investigations and Enforcement and the Americas Head of Investigations and Enforcement

Barclays

Tim Magee’s Biography

Regulation Best Interest, one year on The DOL Fiduciary Rule State broker-dealer fiduciary/best interest initiatives CFP Board Standards of Conduct

    • Regulation Best Interest, one year on
    • The DOL Fiduciary Rule
    • State broker-dealer fiduciary/best interest initiatives
    • CFP Board Standards of Conduct

Participants

Steve Hurd, Tammy Bawnik, Evan Charkes, Yoon-Young Lee, Theresa Seys

Moderator

Steve Hurd

Associate General Counsel, Private Client Group

Raymond James

Steve Hurd’s Biography

Panelists

Evan Charkes

Managing Director and Associate General Counsel

Bank of America

Evan Charkes’s Biography

Yoon-Young Lee

Partner

WilmerHale

Yoon-Young Lee’s Biography

Theresa Seys

Vice President and Chief Counsel

Ameriprise Financial Services, LLC

Theresa Seys’s Biography

The Biden Administration Begins: Changes at U.S. Enforcement Agencies New Enforcement Trends & Priorities Market manipulation/movement SPACs ESG FCPA & AML Expansion of SEC Disgorgement Power

  1. The Biden Administration Begins: Changes at U.S. Enforcement Agencies
  2. New Enforcement Trends & Priorities
    1. Market manipulation/movement
    2. SPACs
    3. ESG
    4. FCPA & AML
  1. Expansion of SEC Disgorgement Power

Participants

Anthony Antonelli, George S. Canellos, Loretta E. Lynch, Ronald C. Machen, Gianluca Morello

Moderator

Anthony Antonelli

Head of Litigation, U.S. & International

RBC

Anthony Antonelli’s Biography

Panelists

George S. Canellos

Partner

Milbank LLP

George S. Canellos’s Biography

Ronald C. Machen

Co-Chair, White Collar Defense and Investigations Practice Group

WilmerHale

Ronald C. Machen’s Biography

Gianluca Morello

Associate General Counsel

Raymond James Financial, Inc.

Gianluca Morello’s Biography

1:35pm – 1:35pm

Conference Concludes

The COVID-19 pandemic has brought with it a whole host of adversities threatening to our well-being. Resilience—the ability to bounce back from challenges and adapt in the face of change—is…

The COVID-19 pandemic has brought with it a whole host of adversities threatening to our well-being. Resilience—the ability to bounce back from challenges and adapt in the face of change—is perhaps more relevant now than ever. This session will discuss the science of resilience and concrete strategies that working professionals can employ to better thrive in all aspects of life.

Participants

Amanda D. Smith

Speaker

Amanda D. Smith

Chief Engagement Officer

Morgan, Lewis & Bockius LLP

Amanda D. Smith’s Biography