Scott Kursman, Chief Compliance Officer, Citigroup Global Markets, Inc and President, SIFMA’s C&L Society

Andrew Stemmer, Head of Litigation & Regulatory Enforcement - Americas, Deutsche Bank AG

Featured Speaker:

Antonia M. Apps, Regional Director, New York Office, U.S. Securities and Exchange Commission

Moderator:
Saima S. Ahmed, Executive Vice President and General Counsel, SIFMA

-Perspectives on what problems the market structure proposals solve for and potential collateral impacts
-Rethinking Regulation ATS and the role of dark pools in the market
-Dealers versus traders and what those roles even mean in the world of technology

Panelists:

Ellen Greene, Managing Director, Equity & Options Market Structure, SIFMA

C. Annette Kelton, Senior Counsel & Co-Head of Equities, Goldman Sachs & Co.

Michael Masone, Director & Head of Americas Equities Market Structure, Citigroup

David S. Shillman, Associate Director, Division of Trading and Markets , U.S. Securities and Exchange Commission

Moderator:
Charles A. Sommers, Partner, Securities Enforcement and Regulatory, Sidley Austin LLP

-What is AI Technology and How is it Impacting our Industry?

-Top Potential uses of Generative AI Technology in Financial Services

-Legal, Compliance and Supervisory Risks - privacy, employment, IP, etc

-Governing the use of AI inhouse

-Speed Round: What’s one thing that you do to stay on top of AI developments?

Panelists:

Avi Gesser, Partner, Debevoise & Plimpton LLP

Josh Katzman, Director, Legal Business Solutions, PwC US

Zachary Stoll, Legal Counsel, Cybersecurity, Intellectual Property & Emerging Technology, Barclays

Moderator:

Chad Nichols, Managing Director, Retail Compliance, Charles Schwab

Sponsored by McGuireWoods

-2023 regulatory priorities: AML program implications and a look forward to 2024
-Financial crime identification and reporting: tips and trends
-Russia, China: sanctions lessons learned and what comes next
-Crypto and digital assets: evolving risk framework considerations

Panelists:

Jason Foye, Senior Director, AML Investigations Unit, FINRA

Adrienne Kosta, Head of Financial Crimes Program Office, Fidelity Investments

Matthew Taylor, Supervisory Special Agent, Federal Bureau of Investigation (FBI)

Lisa Wheeler, Managing Director, Compliance, JPMorgan Chase

Dominic Valentino, Managing Director & Chief AML Officer, Oppenheimer & Co., Inc.

Moderator:

Aseel Rabie, Counsel, Debevoise & Plimpton LLP

Featured Speaker: 

James Reynolds, Jr.,  Chair, SIFMA Board of Directors and Chairman and Chief Executive Officer Loop Capital Markets, LLC

Moderator:

Kenneth E. Bentsen, Jr., President and CEO, SIFMA 

Sponsored by Sia Partners

-Document collection and preservation in regulatory and litigation matters post SEC off channel communications settlements;
-Maximizing cooperation credit;
-Best practices for managing multi-jurisdictional investigations;
-Preparing for litigation while conducting an investigation;
-Common interest agreements/indemnification agreements;
-Privilege considerations in parallel investigations;
-Recent enforcement/litigation trends.

Panelists:

Todd M. Beaton, Jr., Partner, McGuireWoods

Allison Cambria, Director and Senior Counsel, Deutsche Bank AG

Ilan T. Graff, Partner, Fried Frank 

Gina Petrocelli, Chief Counsel, Enforcement, FINRA

Moderator:

Akinyemi T. Akiwowo, Executive Director, Global Litigation, Morgan Stanley

Erica Green, Principal, Chief Compliance Officer, Vanguard Marketing Corporation

Sponsored by Smarsh