Overview

On September 23rd and 24th, SIFMA and the SIFMA C&L Society hosted the C&L Virtual Forum, a two-day event featuring industry leaders’ perspectives on the current regulatory and enforcement environments, lessons learned from the pandemic thus far, and much more.

Already registered? If you registered prior to September 23rd, you may access content on demand here. If you registered after September 23rd, you should receive access instructions within 3 days of registration. Contact [email protected] with any questions.

New registrant? Register below!

Featured Speakers

SIFMA C&L Virtual Forum

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

Date

September 23 - September 24, 2020

Location

Virtual

Hosted by

SIFMA C&L Society

Registration Rates – Until 12/31/20

  • Member $299
  • Associate Member $299
  • Non-Member $399
  • Regulator $99

Overview

On September 23rd and 24th, SIFMA and the SIFMA C&L Society hosted the C&L Virtual Forum, a two-day event featuring industry leaders’ perspectives on the current regulatory and enforcement environments, lessons learned from the pandemic thus far, and much more.

Already registered? If you registered prior to September 23rd, you may access content on demand here. If you registered after September 23rd, you should receive access instructions within 3 days of registration. Contact [email protected] with any questions.

New registrant? Register below!

Featured Speakers

Program

10:00am – 11:00am

During this allotted time, visit sponsors, ask questions, and learn from fellow colleagues about industry topics.

During this allotted time, visit sponsors, ask questions, and learn from fellow colleagues
about industry topics.

11:00am – 11:05am

Participants

Scott C. Kursman

Speaker

Scott C. Kursman

Managing Director and Chief Compliance Officer

Citigroup Global Markets, Inc. & Citibank, N.A. Swap Dealer

Seminar Chairperson

Scott C. Kursman’s Biography

11:05am – 11:35am

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

11:45am – 12:45pm

Operational capacity – what does this mean for systems access, especially trading businesses Meeting regulatory obligations for oversight in this COVID-19 environment. Anticipating unique risks in this new operating structure.…

  • Operational capacity – what does this mean for systems access, especially trading businesses
  • Meeting regulatory obligations for oversight in this COVID-19 environment. Anticipating unique risks in this new operating structure.
  • Supervisory and management challenges with remote staff and related information security challenges
  • Discuss today’s challenges of internal and external communications and recordkeeping
  • Considerations for Return-to-Work plans

Participants

Amy Greer, Michael Broadbery, Andy Cadel, Kevin Dunn Sc.D., CIH, Marlon Q. Paz, Emily Westerberg Russell

Moderator

Amy Greer

Co-Chair, North America Financial Regulation and Enforcement Practice

Baker McKenzie LLP

Amy Greer’s Biography

Panelists

Michael Broadbery

Managing Director

Goldman, Sachs & Co.

Michael Broadbery’s Biography

Andy Cadel

Managing Director, Global Head Technology and Information Security Compliance Risk Management

Citigroup, Inc.

Andy Cadel’s Biography

Emily Westerberg Russell

Chief Counsel of the Division of Trading and Markets

U.S. Securities and Exchange Commission

Emily Westerberg Russell’s Biography

12:55pm – 2:00pm

The D&I Landscape in Financial Services:  Benchmarks, Updates and Current Events Leading Inclusively While Leading Remotely: D&I Strategy in a Work-From-Home Environment The Market View:  The Impact of Diversity &…

  • The D&I Landscape in Financial Services:  Benchmarks, Updates and Current Events
  • Leading Inclusively While Leading Remotely: D&I Strategy in a Work-From-Home Environment
  • The Market View:  The Impact of Diversity & Corporate Social Responsibility on Investor Confidence
  • Best Practices in Law Firm & In-House Inclusion Strategies
  • Owning It:  Unconscious Bias & Pipeline Issues

Participants

Elaine Mandelbaum, Christopher Lewis, Robert Marchman, Grace Speights

Moderator

Elaine Mandelbaum

General Counsel

Interactive Brokers

SIFMA C&L Society President

SIFMA

Elaine Mandelbaum’s Biography

Panelists

Robert Marchman

Senior Policy Advisor on Diversity and Inclusion

U.S. Securities and Exchange Commission

Robert Marchman’s Biography

2:00pm – 4:00pm

Break – Exhibit Hall Open

4:00pm – 5:15pm

What’s top of mind for financial institution General Counsels? Dealing with COVID-19 Addressing Working from Home and Return to Office Issues What role does the General Counsel have in addressing…

  • What’s top of mind for financial institution General Counsels?
  • Dealing with COVID-19
    • Addressing Working from Home and Return to Office Issues
  • What role does the General Counsel have in addressing issues of racial inequality?
  • How are General Counsels grappling with cybersecurity, privacy and Big Data issues?
  • ESG:  the role of the General Counsel in creating a “sustainable” firm

Participants

Karen Patton Seymour, Stephen M. Cutler, Eric F. Grossman, Christopher Lewis, Adam Meshel, Karen Wilson Thissen

Moderator

Karen Patton Seymour

Executive Vice President , General Counsel and Secretary of the Corporation

Goldman Sachs

Karen Patton Seymour’s Biography

Panelists

Stephen M. Cutler

Partner and Head of the Investigations Practice

Simpson Thacher & Bartlett LLP

Stephen M. Cutler’s Biography

Eric F. Grossman

Managing Director and Chief Legal Officer

Morgan Stanley

Eric F. Grossman’s Biography

Adam Meshel

Managing Director & Global General Counsel

Citigroup Global Markets, Inc.

Adam Meshel’s Biography

Karen Wilson Thissen

Executive Vice President and General Counsel

Ameriprise Financial Services, Inc.

Karen Wilson Thissen’s Biography

10:00am – 11:00am

During this allotted time, visit sponsors, ask questions, and learn from fellow colleagues about industry topics.

During this allotted time, visit sponsors, ask questions, and learn from fellow colleagues
about industry topics.

11:00am – 11:05am

Participants

Scott C. Kursman

Speaker

Scott C. Kursman

Managing Director and Chief Compliance Officer

Citigroup Global Markets, Inc. & Citibank, N.A. Swap Dealer

Seminar Chairperson

Scott C. Kursman’s Biography

11:05am – 12:05pm

Participants

Jamie Wall, James Carville, Mary Matalin

Moderator

Jamie Wall

Executive Vice President, Advocacy

SIFMA

Jamie Wall’s Biography

Speakers

James Carville

Political Commentator

James Carville’s Biography

Mary Matalin

Political Commentator

Mary Matalin’s Biography

12:10pm – 1:25pm

Latest issues and trends in enforcement among leaders from the SEC, FINRA, CFTC, and the Department of Justice The impact of COVID Agency priorities Cooperation, investigation length, whistleblowing, and criminal…

  • Latest issues and trends in enforcement among leaders from the SEC, FINRA, CFTC, and the Department of Justice
  • The impact of COVID
  • Agency priorities
  • Cooperation, investigation length, whistleblowing, and criminal liability for corporations
  • New areas of enforcement, including developments in the digital/crypto space and the forthcoming implementation of Regulation BI

Participants

Eric F. Grossman, Stephanie Avakian, Jessica Hopper, Jacquelyn Kasulis, James McDonald

Moderator

Eric F. Grossman

Managing Director 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

Jessica Hopper

Executive Vice President and Head of Enforcement

FINRA

Jessica Hopper’s Biography

James McDonald

Director, Division of Enforcement

U.S. Commodity Futures Trading Commission

James McDonald’s Biography

1:25pm – 3:00pm

Break – Exhibit Hall Open

The following on-demand content will be loaded on September 23rd at 11:00 AM EST and will be available until December 31st. Please view at your leisure and if you are…

The following on-demand content will be loaded on September 23rd at 11:00 AM EST and will be available until December 31st. Please view at your leisure and if you are seeking CLE credit, please complete a CLE form for each session. You must submit each affirmation form immediately following the completion of each webinar to [email protected] by December 31st for credit.

* More Sessions to be Announced

While the world still struggles to battle the COVID-19 pandemic, human health and safety should be everyone’s first priority. But there will come a time when life—and work—will settle into…

While the world still struggles to battle the COVID-19 pandemic, human health and safety should be everyone’s first priority. But there will come a time when life—and work—will settle into a new normal. And although no one knows what that “normal” might look like, past experience tells us that a global crisis on this scale will undoubtedly generate significant, high-stakes litigation and regulatory activity in its wake. Insurance coverage disputes, claims regarding layoffs and other adverse employment actions, “stock-drop” securities class actions, FTC actions regarding consumer fraud, disputes over force majeure provisions and other contract issues. . . These are some of the obvious types of litigation that will ensue, but certainly there will be many others. How can organizations prepare for this wave of litigation? In this Consilio webinar, a panel of experts will explore what can be done now to get ready. They’ll discuss—

• Assessing what types of litigation and regulatory matters are likely to impact your organization;
• How to handle the identification, preservation, and collection of information in a work-from-home world where more data will be widely de-centralized; and
• Adapting existing litigation and eDiscovery processes to new circumstances, and for employees, counsel, and service providers working remotely.

Participants

Maureen O’Neill, Michelle Briggs, Marla Crawford, Kelli Stenstrom

Moderator

Maureen O’Neill

Consilio

Maureen O’Neill’s Biography

Speakers

Kelli Stenstrom

Global Head of Legal eDiscovery, Director & Associate General Counsel

Deutsche Bank AG

Kelli Stenstrom’s Biography

This program will focus on how the global pandemic, racial and social justice movements, Fintech and other major drivers of “S”ocial and “G”overnance change have forced lawyers – in-house and…

This program will focus on how the global pandemic, racial and social justice movements, Fintech and other major drivers of “S”ocial and “G”overnance change have forced lawyers – in-house and outside – to re-examine how they collaborate, advise and manage the ever-expanding array of stakeholders and scrutiny.

This panel will explore how lawyers and compliance executives are:

  • Playing an increasingly prominent leadership role to address higher stakes reputational risks
  • Dealing with disruptive forces confronting the Financial Services industry
  • Harnessing innovation and technology to address increasing complexity
  • Leveraging data, analytics and technology to tackle rapidly evolving ESG challenges and opportunities
  • Transforming the interplay between in-house and outside counsel

Participants

David Curran, Chris Brummer, Susanna M. Buergel, Michelle Greene, Michael Zuckert

Moderator

David Curran

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

Paul, Weiss, Rifkind, Wharton & Garrison

David Curran’s Biography

Speakers

Chris Brummer

Professor of Law and Faculty Director

Georgetown's Institute of International Economic Law

Chris Brummer’s Biography

Michelle Greene

Chief Policy Officer

The Long-Term Stock Exchange

Michelle Greene’s Biography

Michael Zuckert

General Counsel

SVB Financial Group

Michael Zuckert’s Biography

Recent developments to consider when providing brokerage services to customers outside the US: A discussion of (i) whether reverse solicitation is a viable option for maintaining retail and institutional investor…

Recent developments to consider when providing brokerage services to customers outside the US:

A discussion of (i) whether reverse solicitation is a viable option for maintaining retail and institutional investor accounts for investors located abroad; and (ii) the extraterritorial impact of the privacy/data protection and consumer regulations of developing markets.

Participants

Jennifer Connors, Rebecca Leon

Speakers

Jennifer Connors

Partner

Baker McKenzie LLP

Jennifer Connors’s Biography

Securities regulators continue to make conflicts of interest a top priority and have increased their vigilance with respect to gifts and entertainment regulations. The SEC, FINRA, state securities and insurance…

Securities regulators continue to make conflicts of interest a top priority and have increased their vigilance with respect to gifts and entertainment regulations. The SEC, FINRA, state securities and insurance regulators, OCC, FDIC, and other federal regulators, have placed gifts and entertainment management and other conflicts of interest high on the list of topics of focus for regulatory examinations and audits.

This session features an expert panel who provided an overview of relevant gifts and entertainment rules and regulations, including the latest on how this area is being viewed by regulators in light of the pandemic, as well as a practical industry perspective on how one leading firm is applying technology best practices to streamline this critical compliance process.

Participants

William F. Beal IV, Jeffrey Martell, Ben Marzouk

Speakers

William F. Beal IV

Senior Product Manager

RegEd

William F. Beal IV’s Biography

Jeffrey Martell

Director, North America Compliance

Jackson National Life Insurance Company

Jeffrey Martell’s Biography

Sponsored by Sidley Austin  What are collateral consequences? Are there different kinds? When do you need to watch out for them, and how are they best handled? A panel…

Sponsored by Sidley Austin 

What are collateral consequences? Are there different kinds? When do you need to watch out for them, and how are they best handled? A panel of experts, including in-house, outside counsel and former regulators will advise on the types of collateral consequences, potential pitfalls, their impact on your business, when you are most likely to encounter them, what kinds of relief are available, and how to proceed. If you’re negotiating an enforcement settlement with the DOJ, SEC, CFTC, SRO or state, this is a must-attend panel.

Participants

Thomas Kim, Elizabeth Marino, David S. Petron

The Changing Securities Litigation Landscape : Event-Driven Litigation, Code of Conduct Breaches, etc. (CBS, Signet and Others) State Court and Evolving State Law Landscape -- Life After Cyan, SLUSA and…

  • The Changing Securities Litigation Landscape : Event-Driven Litigation, Code of Conduct Breaches, etc. (CBS, Signet and Others)
  • State Court and Evolving State Law Landscape — Life After Cyan, SLUSA and Delaware Fiduciary Law Developments (Section 220 Demands, Del. Sup. Ct. Sciabacucchi decision, etc.)
  • Extraterritoriality Issues Continue—Toshiba, Madoff, Morrison and Collective Proceedings outside the U.S.
  • Impact of Past Supreme Court Decisions (Lorenzo, Omnicare, Halliburton, Liu v. SEC) and Cases Pending Before the Court (IBM v. Jander)
  • Update on Cartel/Collusion Litigations: Class Certification (FX and Implications for Financial Products Antitrust Litigation, Price Maintenance Theory in Securities Cases)

Participants

Mary Reisert, Adam Hakki, Brad Karp, Jay Kasner, Sharon Nelles, Jonathan Rosenberg

Can you litigate and maintain a constructive relationship with the government? Taking the government to trial – Exxon and its implications Managing media and publicity issues Considerations around changes in…

  • Can you litigate and maintain a constructive relationship with the government?
  • Taking the government to trial – Exxon and its implications
  • Managing media and publicity issues
  • Considerations around changes in administration

Participants

David Markowitz, George S. Canellos, Craig Carpenito, Matthew Fitzwater, Susan L. Merrill, Theodore Wells, Jr.

Moderator

David Markowitz

Managing Director

Goldman, Sachs & Co.

David Markowitz’s Biography

Panelists

George S. Canellos

Partner

Milbank LLP

George S. Canellos’s Biography

Craig Carpenito

United States Attorney

U.S. Attorney's Office

Craig Carpenito’s Biography

Matthew Fitzwater

Managing Director, Global Head of Litigation, Investigations & Enforcement

Barclays

Matthew Fitzwater’s Biography

COVID-19 Impact on Investment Banking Issues in Connection with Securities Offering – Direct Listings, TTW, SPACs, SEC Enforcement Social Justice, Black Lives Matter and #MeToo Movements: Impact on banking transactions…

  • COVID-19 Impact on Investment Banking
  • Issues in Connection with Securities Offering – Direct Listings, TTW, SPACs, SEC Enforcement
  • Social Justice, Black Lives Matter and #MeToo Movements: Impact on banking transactions
  • Banking Compliance Considerations under Reg BI
  • M&A Developments: MAC clause, foreign investment rules

Participants

Darian Futrell, Todd Baskin, Sandra Galvis, Jodi Huckabee, Michael Kaplan, C.B. Richardson

Moderator

Darian Futrell

Managing Director

Goldman Sachs

Darian Futrell’s Biography

Panelists

Todd Baskin

Deputy General Counsel for Global Banking

Bank of America

Todd Baskin’s Biography

Sandra Galvis

Director and Counsel

Credit Suisse

Sandra Galvis’s Biography

Jodi Huckabee

Managing Director, Global Head Banking Compliance, Conflicts Management and Control Room

Barclays

Jodi Huckabee’s Biography

C.B. Richardson

Managing Director, Global CCO of Banking, Capital Markets & Advisory, Research and Control Group

Citigroup Global Markets, Inc.

C.B. Richardson’s Biography

Joint Development of Diverse Talent – The Next Step The Ethics Argument for Promoting Equality in the Profession (ABA Rule 8.5) Carving a Path Towards Senior Leadership in Legal and…

  • Joint Development of Diverse Talent – The Next Step
  • The Ethics Argument for Promoting Equality in the Profession (ABA Rule 8.5)
  • Carving a Path Towards Senior Leadership in Legal and Compliance

Participants

Gleennia Napper, Debo P. Adegbile, Peggy Ho, Autumn Hunter, Macey Russell

Moderator

Gleennia Napper

Vice President, Corporate Finance Compliance

Deutsche Bank

Gleennia Napper’s Biography

Panelists

Debo P. Adegbile

Partner

WilmerHale

Debo P. Adegbile’s Biography

Peggy Ho

EVP, Chief of Staff

LPL Financial LLC

Peggy Ho’s Biography

Autumn Hunter

Associate General Counsel & Director

Bank of America Corporation

Autumn Hunter’s Biography

2019 Enforcement and Regulatory Highlights & 2020 Horizon Scanning Challenging Concepts -  from operating models to extra-territorial application of rules Initiating and Maintaining a Cross-Border program  - What does your…

  • 2019 Enforcement and Regulatory Highlights & 2020 Horizon Scanning
  • Challenging Concepts –  from operating models to extra-territorial application of rules
  • Initiating and Maintaining a Cross-Border program  – What does your firm need?
  • Leveraging technology –  What’s the latest available?
  • Integrating ancillary elements – product rules, tax privacy, travel

Participants

Alison Morpurgo, Belinda Blaine, Lucas Glass, Charlotte Stalin, John Weitzer

Moderator

Alison Morpurgo

Managing Director, Global Head Cross-Border Legal

UBS Financial Services Inc.

Alison Morpurgo’s Biography

Panelists

Belinda Blaine

Managing Director

Morgan Stanley

Belinda Blaine’s Biography

Lucas Glass

Senior Counsel

Wells Fargo

Lucas Glass’s Biography

John Weitzer

Managing Director and Americas Head of Global Banking and Markets Regulatory Compliance

HSBC

John Weitzer’s Biography

Cross-Border Rules Capital Rules Key Differences between Swap Dealer and Security-Based Swap Dealer Rules and Implementation Considerations Recent Enforcement Actions Regulator Updates and Priorities – Insights from the DSIO and…

  • Cross-Border Rules
  • Capital Rules
  • Key Differences between Swap Dealer and Security-Based Swap Dealer Rules and Implementation Considerations
  • Recent Enforcement Actions
  • Regulator Updates and Priorities – Insights from the DSIO and the NFA

Participants

Angie Karna, Matthew Danton, Colin D. Lloyd, Michael Otten, Joshua B. Sterling

Moderator

Panelists

Matthew Danton

Director

Barclays

Matthew Danton’s Biography

Michael Otten

Vice President, OTC Derivatives

National Futures Association (NFA)

Michael Otten’s Biography

Joshua B. Sterling

Director of the Division of Swap Dealer and Intermediary Oversight

U.S. Commodity Futures Trading Commission

Joshua B. Sterling’s Biography

Planning for the future - Technology/Artificial Intelligence/Robotics/Data Current and Shifting Compliance Risks & Connectivity with Operational Risk How the Compliance Function is Changing Compliance Officers of the Future – Skills,…

  • Planning for the future – Technology/Artificial Intelligence/Robotics/Data
  • Current and Shifting Compliance Risks & Connectivity with Operational Risk
  • How the Compliance Function is Changing
  • Compliance Officers of the Future – Skills, acumen and diversity considerations
  • Regulators’ Expectations of Compliance and CCO Liability

Participants

Barbara A. Stettner, Ann C. McCague, Pamela Root, Raul F. Yanes

Moderator

Panelists

Ann C. McCague

Managing Director and Global Head of Compliance

Piper Sandler

Ann C. McCague’s Biography

Pamela Root

Global Head of Compliance

Deutsche Bank AG

Pamela Root’s Biography

Raul F. Yanes

Chief Compliance Officer and Global Head of Financial Crimes

Morgan Stanley

Raul F. Yanes’s Biography

Regulatory Guidance on Using Social Media and Potential Impact of the SEC’s Proposed Advertising Rule Social Distancing Marketing Considerations Innovative Design Techniques and Utilization of Disclosure in Digital Communications Challenges…

  • Regulatory Guidance on Using Social Media and Potential Impact of the SEC’s Proposed Advertising Rule
  • Social Distancing Marketing Considerations
  • Innovative Design Techniques and Utilization of Disclosure in Digital Communications
  • Challenges Presented by Mobile Devices and the Evolving Social Media Landscape
  • Supervision and Record Retention Challenges of Communication Apps and Websites
  • Recent Disciplinary Actions Involving Social Media and Electronic Communications

Participants

Stephen Bard, Iain Duke-Richardet, Paul A. Merolla, Amy C. Sochard, Casey Whalley

Moderator

Stephen Bard

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

Wells Fargo Clearing Services, LLC

Stephen Bard’s Biography

Panelists

Iain Duke-Richardet

Compliance Strategy Principal

Hearsay Systems

Iain Duke-Richardet’s Biography

Amy C. Sochard

Vice President, Advertising Regulation Department

FINRA

Amy C. Sochard’s Biography

Casey Whalley

Principal - Field Supervision

Edward Jones

Casey Whalley’s Biography

Using Data to Connect the Dots Across Your Firm Harnessing Artificial Intelligence and Machine Learning for Surveillance Leveraging Natural Language Processing Navigating Potential Pitfalls: New Tech Implementation, Recruiting Challenges and Communication…

  • Using Data to Connect the Dots Across Your Firm
    • Harnessing Artificial Intelligence and Machine Learning for Surveillance
    • Leveraging Natural Language Processing
  • Navigating Potential Pitfalls: New Tech Implementation, Recruiting Challenges and Communication with Technologists
  • Evolving Role of Digital Services Platforms in Financial Institutions
    • SEC Regulation Best Interest and Digital Services Platforms
  • Regulators Approach to Technology & Big Data
    • What Do They Expect from Us?
    • OCIE 2020 Examination Priorities
    • Recent Enforcement Actions

Participants

Jennifer Grego, Brad Ahrens, Edward P. O’Keefe, Steven Polansky, Joseph Polizzotto

Moderator

Jennifer Grego

Chief Compliance Officer Wealth Management

Morgan Stanley

Jennifer Grego’s Biography

Panelists

Brad Ahrens

Vice President of the Compliance Surveillance Technology and Analytics Group

Charles Schwab & Co., Inc.

Brad Ahrens’s Biography

Steven Polansky

Senior Director, Member Supervision

FINRA

Steven Polansky’s Biography

Joseph Polizzotto

Senior Vice President, Strategy & Client Services

QuisLex, Inc.

Joseph Polizzotto’s Biography

Regulatory Considerations When Evaluating a Move to a Cloud Cybersecurity and Business Continuity Issues Involving Cloud Solutions Conducting Due Diligence on Cloud Providers and Platforms Data Privacy and Cross Border…

  • Regulatory Considerations When Evaluating a Move to a Cloud
  • Cybersecurity and Business Continuity Issues Involving Cloud Solutions
  • Conducting Due Diligence on Cloud Providers and Platforms
  • Data Privacy and Cross Border Risks in the Cloud

Participants

Melissa MacGregor, Larry Bortstein, Mike Di Stephan, Behnaz Kibria, Cassandra Lentchner

Moderator

Melissa MacGregor

Managing Director and Associate General Counsel

SIFMA

Melissa MacGregor’s Biography

Panelists

Larry Bortstein

Founding Partner

Bortstein Legal Group

Larry Bortstein’s Biography

Mike Di Stephan

Executive Director and Senior Counsel, Technology & Data Legal

Morgan Stanley

Mike Di Stephan’s Biography

Behnaz Kibria

Senior Policy Counsel

Google

Behnaz Kibria’s Biography

Evolving standards of care: Regulation Best Interest Implementation Update Privacy issues Business model challenges Impact of technology Litigation and enforcement trends

  • Evolving standards of care: Regulation Best Interest Implementation Update
  • Privacy issues
  • Business model challenges
  • Impact of technology
  • Litigation and enforcement trends

Participants

Danielle Tarasen, Hilary Sunghee Seo, William St. Louis, Corin R. Swift, Anne Tennant

Moderator

Danielle Tarasen

Senior Vice President, Head of Cross Border Strategy and Oversight

Raymond James Financial Services, Inc.

Danielle Tarasen’s Biography

Panelists

Hilary Sunghee Seo

Senior Counsel

Allen & Overy LLP

Hilary Sunghee Seo’s Biography

William St. Louis

Senior Vice President and Firm Group Leader

FINRA

William St. Louis’s Biography

Anne Tennant

Managing Director & General Counsel of Wealth Management

Morgan Stanley

Anne Tennant’s Biography

FINRA Dispute Resolution Update Potential Reg BI Claims on the Horizon Senior Issues in Arbitration – What to Expect Lessons from behavioral economics and cognitive science to inform advocacy strategies

  • FINRA Dispute Resolution Update
  • Potential Reg BI Claims on the Horizon
  • Senior Issues in Arbitration – What to Expect
  • Lessons from behavioral economics and cognitive science to inform advocacy strategies

Participants

James Crowe, Richard W. Berry, Kenneth Crowley, Linda Drucker, Cheryl L. Haas

Moderator

James Crowe

Principal, Senior Associate General Counsel

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

James Crowe’s Biography

Panelists

Richard W. Berry

Executive Vice President and Director of Dispute Resolution

FINRA

Richard W. Berry’s Biography

Kenneth Crowley

Executive Director

UBS AG

Kenneth Crowley’s Biography

Linda Drucker

Managing Senior Counsel

Bank of the West

Linda Drucker’s Biography

Sponsored by: QuisLex   Institutions around the world are preparing for the transition away from LIBOR. The high level plan sounds simple. Find and collect your affected contracts, review them, then update them to…

Sponsored by:
QuisLex
 
Institutions around the world are preparing for the transition away from LIBOR. The high level plan sounds simple. Find and collect your affected contracts, review them, then update them to include a new reference rate or viable “fallback” language. But the sheer scale of these projects can mean millions in costs, so setting up an efficient review across asset classes is critical. The panel will walk through an example of an end-to-end solution to LIBOR contract repapering, weaving in best practices and proven results from panelists real world use cases. Topics covered will include: (i) the steps to take before kicking off a project to set yourself up for success, (ii) where you can incorporate leading legal technology and AI to automate tasks, (ii) how to leverage cost efficient resources to fill in the gaps and complete quality reviews, and (iii) the role an SME plays to resolve escalations and outliers.

Participants

Chase D’Agostino, Marcy Sharon Cohen, Jason Pugh, Christopher Schell

Speakers

Chase D’Agostino

AVP of Corporate Solutions

QuisLex, Inc.

Chase D’Agostino’s Biography

Marcy Sharon Cohen

Managing Director & Chief Legal Officer

ING Financial Holdings Corporation

Marcy Sharon Cohen’s Biography

Jason Pugh

Managing Director

D2 Legal Technology

Jason Pugh’s Biography

Sponsored by Morgan Lewis A summary of the DOL’s proposal with a focus on impacts to interactions with retirement investors through brokerage and advisory models.  Key areas to be…

Sponsored by Morgan Lewis

A summary of the DOL’s proposal with a focus on impacts to interactions with retirement investors through brokerage and advisory models.  Key areas to be addressed include comparison to SEC standards (Reg. BI/Advisers Act interpretations), comparison to the vacated DOL fiduciary rule, and the potential effect on product distribution (packaged products, sweep, principal traded securities).

Participants

Lindsay Jackson, Lisa Bleier, Tonia Bottoms, Jason P. Kelly, Lee Thoresen

Moderator

Speakers

Lisa Bleier

Managing Director and Associate General Counsel, Federal Government Relations

SIFMA

Lisa Bleier’s Biography

Tonia Bottoms

Managing Director & Senior Managing Counsel

Pershing LLC, a BNY Mellon Company

Tonia Bottoms’s Biography

Jason P. Kelly

Associate General Counsel

Edward Jones

Jason P. Kelly’s Biography

Lee Thoresen

Senior Counsel, Head of Regulatory and Transactional

RBC

Lee Thoresen’s Biography

Sponsored by Allen & Overy Please join us as we discuss recent trends in U.S. Foreign Corrupt Practices Act enforcement, with a focus on the increase in cross-border cases…

Sponsored by Allen & Overy

Please join us as we discuss recent trends in U.S. Foreign Corrupt Practices Act enforcement, with a focus on the increase in cross-border cases where authorities from around the world coordinate to obtain evidence and reach multi-million dollar settlements against corporates and financial institutions.  We will also discuss ways in which companies can proactively protect themselves against the risk of these investigations and how we can help.

Participants

Billy Jacobson, Jonathan Lopez, Claire Rajan

Speakers

Claire Rajan

Senior Counsel

Allen & Overy

Claire Rajan’s Biography

Sponsored by Bressler, Amery & Ross In 2021, complex investments such as REITs, structured products, and leveraged ETFs are likely to take center-stage in the FINRA forum as investors…

Sponsored by Bressler, Amery & Ross

In 2021, complex investments such as REITs, structured products, and leveraged ETFs are likely to take center-stage in the FINRA forum as investors seek both yield in a historically low interest rate environment and strategies to profit during a period of intense market volatility.  With the events of 2020 and an aging investor population, allegations relating to vulnerable investors and claims arising from margin calls are also likely to be running themes.  Join our panel of rising litigation stars as they forecast next year’s arbitration trends and related defense strategies.

Participants

Joelle A. Simms, David Buffa, Kathryn D. Perreault, Logan Fisher

Participants

Annette Nazareth, Brian Brooks

Speakers

Brian Brooks

Acting Comptroller of the Currency

OCC

Brian Brooks’s Biography

Sponsored by Morningstar The Regulation Best Interest June 30 deadline has come and gone, and your firm has likely reviewed your disclosure process to ensure a Customer Relationship Summary…

Sponsored by Morningstar

The Regulation Best Interest June 30 deadline has come and gone, and your firm has likely reviewed your disclosure process to ensure a Customer Relationship Summary is provided to a retail investor when appropriate. What is your firm doing to ensure you have a reasonable basis for making investment recommendations?

Join our session to hear from our experts on the latest regulatory landscape and learn how your firm can use Morningstar’s Regulation Best Interest solutions to succeed under this new regulation.

In this on demand session, we’ll cover how your advisors can use our tools to:

  • Evaluate the reasonableness of recommendations
  • Tailor portfolios to investor goals
  • Recommend rollovers with compliance obligations in mind
  • Design investment lineups that serve clients’ best interests
  • Access managed portfolios built to help you focus holistically on your clients
  • Understand, identify, and recommend annuities that are a best fit for clients

Participants

Sara Mersinger, Matthew Radgowski, Jasmin Sethi, Todd Sudak

Speakers

Sara Mersinger

Senior Product Manager

Morningstar

Sara Mersinger’s Biography

Matthew Radgowski

Head of Client Solutions, Advisor Segment

Morningstar

Matthew Radgowski’s Biography

Jasmin Sethi

o Associate Director of Policy Research

Morningstar

Jasmin Sethi’s Biography

Todd Sudak

o Head of Enterprise Solutions

Morningstar

Todd Sudak’s Biography

Sponsored by: Protiviti We are in the midst of a digital revolution. Innovation investments continue to increase but compliance executives are now better able to distinguish hype from…

Sponsored by: Protiviti

We are in the midst of a digital revolution. Innovation investments continue to increase but compliance executives are now better able to distinguish hype from reality and focus these investments on areas that will provide the greatest returns. This session will discuss real-life examples of financial institutions that have successfully harnessed the potential of innovation to increase efficiencies and better align compliance efforts to business goals and objectives for growth.

Participants

Suzanne Elovic, Scott Essex, Shelley Metz-Galloway, Lucy Pearman

Speakers

Suzanne Elovic

Chief Legal and Compliance Officer

Carta

Suzanne Elovic’s Biography

Scott Essex

President, Chief Compliance & Ethics Officer

Essex Enterprises, LLC

Scott Essex’s Biography

Shelley Metz-Galloway

Managing Director

Protiviti

Shelley Metz-Galloway’s Biography

Lucy Pearman

Managing Director

Protiviti

Lucy Pearman’s Biography

Sponsored by Skadden, Arps, Slate, Meagher & Flom LLP Looking back at the first six months of 2020, our panel will examine developments in securities class actions and other…

Sponsored by Skadden, Arps, Slate, Meagher & Flom LLP

Looking back at the first six months of 2020, our panel will examine developments in securities class actions and other major securities-related cases, offering insights on a range of topics. Discussion topics will include:

• An overview of the first-half filing trends, including the impact of COVID-19 and the moderate decrease in securities class action filings — will the trend line continue?
• Recent Omnicare decisions regarding reserving, and other judgmental disclosures
• The latest on concurrent state and federal Securities Act filings following the Supreme Court’s 2018 decision in Cyan
• The proportional increase in securities class action filings against foreign issuers
• Recent district and appellate court developments related to scienter, disclosure, loss causation and other areas, including the Second Circuit’s recent decision regarding class certification

Participants

James R. Carroll, Jay Kasner, Kevin LaCroix, Alisha Q. Nanda, Scott Musoff, Noelle M. Reed

Sponsored by Smarsh Businesses are continuing to adjust to the reality that distributed workforces will be with us for a while. Remote workers continue working full-time on Microsoft Team,…

Sponsored by Smarsh

Businesses are continuing to adjust to the reality that distributed workforces will be with us for a while. Remote workers continue working full-time on Microsoft Team, Slack, Zoom, and a plethora of mobile apps – only some of which that have been authorized for business use. A few were prepared for this transition, while others are investing in training, policy controls and technologies to address new infosec, compliance, and intellectual property risks. However, best practices are emerging that can help firms manage remote employees and their use of mobile, social, and collaboration technologies. In this session, we will discuss:
• How to adjust communications policies to reflect the use of technologies including Microsoft Teams, WhatsApp/WeChat, Slack, and Zoom
• How firms can identify and control security, privacy, and compliance risks of remote workforces
• How firms can stay prepared for events such as investigation and litigation
• How companies can adjust training programs to provide the appropriate guard rails for stay-at-home workers

Participants

Robert Cruz

Speaker

Robert Cruz

Sr. Director of Information Governance

Smarsh

Robert Cruz’s Biography

Sponsored by Mayer Brown Broker-dealer firms must consider particular issues relating to the transition away from the use of the London Interbank Offered Rate.  On June 18, 2020, the…

Sponsored by Mayer Brown

Broker-dealer firms must consider particular issues relating to the transition away from the use of the London Interbank Offered Rate.  On June 18, 2020, the Office of Compliance, Inspections and Examinations of the U.S. Securities and Exchange Commission announced in a risk alert that it will conduct examinations of SEC-registered broker-dealers and investment advisers, among others, to assess their preparedness for LIBOR’s expected discontinuation.  In a clear warning to registrants regarding LIBOR preparedness, OCIE noted that, “Preparation for the transition away from LIBOR is essential for minimizing any potential adverse effects associated with LIBOR discontinuation. The risks associated with this discontinuation and transition will be exacerbated if the work necessary to effect an orderly transition to an alternative reference rate is not completed in a timely manner”

Our program will cover the following:

·         SEC Guidance on IBOR Transition – It’s later than you think!

·         FINRA’s LIBOR Phase-Out Preparedness Survey – What should your firm be doing now?

·         Preparing for potential current and future litigation risk – How to identify and mitigate risk?

·         Legislative solutions in the U.S. and E.U. – Overview of potential solution.

Participants

Marlon Q. Paz

Speaker

Venue

Virtual Gathering


Webinars, Webcasts, Virtual

Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.

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CLE

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It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Panel attendance must be certified by each registrant seeking CLE credits. All attendees who registered to receive CLE Credit will be sent an affirmation form from [email protected]. Attendance must be certified by each registrant seeking credits by completing the affirmation form immediately following the webinar using our CLE code word and emailing the form back to [email protected].  The moderator of each CLE eligible panel will announce the CLE code word periodically throughout the panel. CLE Credit cannot be certified after the webinar adjourns. Participants will receive CLE Certificates Within 60 days of sending SIFMA their affirmation form(s).

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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.

Cancellations and Substitutions

Cancellation within 48 hours of the virtual event will be subject to a $25 cancellation fee. No substitutions or transfers will be accepted.