SII Graduate Program
About the 2021 SII Graduate Program The 2021 SII Graduate Program is an enhanced virtual program. The program will provide…
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.
On demand content is now available for pre-registrants until December 31, 2020.
If you registered after September 23rd, you should receive access instructions within 3 days of registration. Contact [email protected] with any questions.
Already Registered? View On Demand Now.
New registrant? Register below!
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.
On demand content is now available for pre-registrants until December 31, 2020.
If you registered after September 23rd, you should receive access instructions within 3 days of registration. Contact [email protected] with any questions.
Already Registered? View On Demand Now.
New registrant? Register below!
Registration Rates | $299 |
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Registration Rates | $299 |
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Registration Rates | $399 |
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Registration Rates | $99 |
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Member | Associate Member | Non-Member | Regulator | |
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Registration Rates | $299 | $299 | $399 | $99 |
Register now to view all SIFMA C&L Virtual Forum content on demand until December 31, 2020. Replay access instructions will be granted within 3 days of registration.
No substitutions or cancellations will be accepted.
Questions? Contact SIFMA C&L Society.
10:00am – 11:00am
During this allotted time, visit sponsors, ask questions, and learn from fellow colleagues
about industry topics.
11:00am – 11:05am
Scott C. Kursman
Managing Director and Chief Compliance Officer
Citigroup Global Markets, Inc. & Citibank, N.A. Swap Dealer
Seminar Chairperson
11:05am – 11:35am
Ira D. Hammerman, Robert W. Cook
11:45am – 12:45pm
Amy Greer, Michael Broadbery, Andy Cadel, Kevin Dunn Sc.D., CIH, Marlon Q. Paz, Emily Westerberg Russell
Co-Chair, North America Financial Regulation and Enforcement Practice
Managing Director, Global Head Technology and Information Security Compliance Risk Management
Mechanical Engineer
National Institute for Occupational Safety and Health (NIOSH)
Chief Counsel of the Division of Trading and Markets
12:55pm – 2:00pm
Elaine Mandelbaum, Christopher Lewis, Robert Marchman, Grace Speights
General Counsel
SIFMA C&L Society President
Senior Policy Advisor on Diversity and Inclusion
2:00pm – 4:00pm
4:00pm – 5:15pm
Karen Patton Seymour, Stephen M. Cutler, Eric F. Grossman, Christopher Lewis, Adam Meshel, Karen Wilson Thissen
Executive Vice President , General Counsel and Secretary of the Corporation
Managing Director and Chief Legal Officer
Executive Vice President and General Counsel
10:00am – 11:00am
During this allotted time, visit sponsors, ask questions, and learn from fellow colleagues
about industry topics.
11:00am – 11:05am
Scott C. Kursman
Managing Director and Chief Compliance Officer
Citigroup Global Markets, Inc. & Citibank, N.A. Swap Dealer
Seminar Chairperson
11:05am – 12:05pm
Jamie Wall, James Carville, Mary Matalin
12:10pm – 1:25pm
Eric F. Grossman, Stephanie Avakian, Jessica Hopper, Jacquelyn Kasulis, James McDonald
Managing Director and Chief Legal Officer
Chief of the Criminal Division
United States Attorneys Office, Eastern Division of New York
1:25pm – 3:00pm
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 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.
Maureen O’Neill, Michelle Briggs, Marla Crawford, Kelli Stenstrom
Global Head of Legal eDiscovery, Director & Associate General Counsel
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:
David Curran, Chris Brummer, Susanna M. Buergel, Michelle Greene, Michael Zuckert
Chief Sustainability and Environmental, Social and Governance (ESG) Officer
Professor of Law and Faculty Director
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.
Jennifer Connors, Rebecca Leon
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.
William F. Beal IV, Jeffrey Martell, Ben Marzouk
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.
Thomas Kim, Elizabeth Marino, David S. Petron
Mary Reisert, Adam Hakki, Brad Karp, Jay Kasner, Sharon Nelles, Jonathan Rosenberg
Firmwide Co-Chair of Securities Litigation
David Markowitz, George S. Canellos, Craig Carpenito, Matthew Fitzwater, Susan L. Merrill, Theodore Wells, Jr.
Managing Director, Global Head of Litigation, Investigations & Enforcement
Darian Futrell, Todd Baskin, Sandra Galvis, Jodi Huckabee, Michael Kaplan, C.B. Richardson
Managing Director, Global Head Banking Compliance, Conflicts Management and Control Room
Managing Director, Global CCO of Banking, Capital Markets & Advisory, Research and Control Group
Gleennia Napper, Debo P. Adegbile, Peggy Ho, Autumn Hunter, Macey Russell
Vice President, Corporate Finance Compliance
Associate General Counsel & Director
Alison Morpurgo, Belinda Blaine, Lucas Glass, Charlotte Stalin, John Weitzer
Managing Director, Global Head Cross-Border Legal
Managing Director and Americas Head of Global Banking and Markets Regulatory Compliance
Angie Karna, Matthew Danton, Colin D. Lloyd, Michael Otten, Joshua B. Sterling
Director of the Division of Swap Dealer and Intermediary Oversight
Barbara A. Stettner, Ann C. McCague, Pamela Root, Raul F. Yanes
Managing Director and Global Head of Compliance
Chief Compliance Officer and Global Head of Financial Crimes
Stephen Bard, Iain Duke-Richardet, Paul A. Merolla, Amy C. Sochard, Casey Whalley
Senior Vice President, WIM Director of Social Media & Communications Compliance
Jennifer Grego, Brad Ahrens, Edward P. O’Keefe, Steven Polansky, Joseph Polizzotto
Vice President of the Compliance Surveillance Technology and Analytics Group
Senior Vice President, Strategy & Client Services
Melissa MacGregor, Larry Bortstein, Mike Di Stephan, Behnaz Kibria, Cassandra Lentchner
Managing Director and Associate General Counsel
Executive Director and Senior Counsel, Technology & Data Legal
Danielle Tarasen, Hilary Sunghee Seo, William St. Louis, Corin R. Swift, Anne Tennant
Senior Vice President, Head of Cross Border Strategy and Oversight
Managing Director & General Counsel of Wealth Management
James Crowe, Richard W. Berry, Kenneth Crowley, Linda Drucker, Cheryl L. Haas
Principal, Senior Associate General Counsel
Executive Vice President and Director of Dispute Resolution
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.
Chase D’Agostino, Marcy Sharon Cohen, Jason Pugh, Christopher Schell
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).
Lindsay Jackson, Lisa Bleier, Tonia Bottoms, Jason P. Kelly, Lee Thoresen
Managing Director and Associate General Counsel, Federal Government Relations
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.
Billy Jacobson, Jonathan Lopez, Claire Rajan
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.
Joelle A. Simms, David Buffa, Kathryn D. Perreault, Logan Fisher
Sponsored by Davis Polk & Wardwell
Annette Nazareth, Brian Brooks
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:
Sara Mersinger, Matthew Radgowski, Jasmin Sethi, Todd Sudak
Head of Client Solutions, Advisor Segment
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.
Suzanne Elovic, Scott Essex, Shelley Metz-Galloway, Lucy Pearman
President, Chief Compliance & Ethics Officer
Essex Enterprises, LLC
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
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, 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
Robert Cruz
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.
Marlon Q. Paz
Webinars, Webcasts, Virtual
Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.
Thank you to our sponsors! Interested in learning about sponsor opportunities? Contact Diana Serri at 212.313.1258.
SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants.
SIFMA will seek CLE Credit for this program in the following states: NY, CA, TX, MO & IL.
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).
When registering for the Virtual Forum, make sure to check the box for CLE Credit.
For an optimal webinar experience, we recommend attendees view this webinar using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).
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Helpful Hints (PDF)
Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.
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.
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