Name: C&L Regional Seminar: St. Louis - 2023 PROGRAM
Start: 2023-06-14T19:00:00-04:00
Location: Edward Jones Conference Center

C&L Regional Seminar: St. Louis - 2023 PROGRAM

JANUARY 27, 2022 | NEW YORK CITY

June 14, 2023 | 8:00 a.m. – 5:30 p.m. CT

FEATURED SPEAKERS

Robert W. Cook

President and CEO

FINRA

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Featured speakers

First Name Last Name

Title

Company Name

First Name Last Name

Title

Company Name

PROGRAM

All times are in CT.

8:00 a.m. - 5:30 p.m.

Registration Hours

8:00 a.m. - 8:45 a.m.

Networking Breakfast

8:45 a.m. - 8:55 a.m.

Welcome Remarks

Scott Kursman, Chief Compliance Officer, Citi and President, SIFMA’s C&L Society

8:55 a.m. - 9:25 a.m.

One-on-One Conversation with Missouri Securities Commissioner

Douglas M. Jacoby, Commissioner, Missouri Securities Division

Moderator:
Jesse Hill, Principal, Government and Regulatory Relations, Edward Jones

9:25 a.m. - 10:40 a.m.

Current Developments in Litigation and Arbitration

- Increase in Reg BI-based customer claims

- New FINRA rules on expungement

- RIA use of mandatory arbitration

- The future of Zoom hearings

- Update on FTC proposal to ban non-competes

- The latest on crypto and ESG claims

Moderator:
Howard Klausmeier, Vice President & Chief Counsel - Litigation, Ameriprise Financial

Panelists:

T.R. Bynum, Managing Counsel/Officer, Wells Fargo N.A.
Nancy Hendrickson, VP, Associate General Counsel, D.A. Davidson
Peter Bado, Chief Legal Advisor-U.S. Wealth Management, Royal Bank of Canada Capital Markets, LLC

Donald D. McBride II, Officer, Greensfelder, Hemker & Gale, P.C.

10:40 a.m. - 11:10 a.m.

Networking Break

11:10 a.m. - 12:25 p.m.

Top of Mind Financial Industry Trends

- Managing governance and risk committees for ESG

- Enhancing your AML program

- Protecting your clients and firm from trending scams

- What is top of mind in your organizations?

Moderator:

Bernard Canepa, Managing Director, Associate General Counsel - Office of General Counsel, SIFMA

Panelists:

Geoffrey Bright, Vice President and Deputy Chief Compliance Officer, Stifel

Thor Nelson, Vice President – AML/Financial Crimes Compliance, Ameriprise

Tina Samanta, Of Counsel, Gibson Dunn
Liz Lyons, Department Head, Senior Compliance Counsel, Edward Jones

12:25 p.m. - 1:25 p.m.

Networking Luncheon

1:25 p.m. - 2:40 p.m.

Utilizing Technology to Enhance Your Supervision and Surveillance Programs

- Incorporating AI into your programs

- Finding efficiency and effectiveness with robotics

- Testing/oversight of your technology

- Planning for the next big tech development

Moderator:

Mike Conley, Compliance Director, Integrated Brokerage, Advice, and Services, Wells Fargo Advisors

Panelists:

Don Chaney, Senior Vice President and Chief Compliance Officer, Stephens Inc.

Pete Driscoll, Partner, PwC

Casey E. Kuretich, Associate, McGuire Woods LLP

Rick Paulson, Compliance Director, Charles Schwab & Co.

2:40 p.m. - 3:10 p.m.

Networking Break

3:10 p.m. - 4:25 p.m.

Recent Regulatory Developments and Trends

- Keeping up with the feverish pace of the SEC’s rulemaking agenda

- What regulators are looking for – and finding – in Reg BI exams

- The implications of FINRA's 2023 priorities on private client firms

- An update on the latest enforcement matters

Moderator:

Jessica Hopper, Regulatory Strategy – Legal Regulatory Strategy - Legal, Edward Jones

Panelists:

Scott Gilbert, Vice President, Member Supervision, FINRA

Ariel Gursky, Partner, Morgan Lewis

John Schoemehl, Senior Lead Counsel, Wells Fargo

Gwendolyn M. Taylor, Senior Vice President, Senior Counsel, Benjamin F. Edwards & Co.

4:25 p.m. - 4:30 p.m.

Closing Remarks

Rich Link, Chief Compliance Officer, Edward D. Jones & Co., L.P.

4:30 p.m. - 5:30 p.m.

Networking Reception

WHY ATTEND

Professionals of all levels can access insightful conversations with financial services leaders, valuable professional development opportunities, and timely and topical discussions.

Expert Insights

Hear from senior compliance and legal professionals on how we can move forward into the new year with the tools necessary to make remote work both productive and valuable to employers and employees.

Candid Discussions

Gain insight into the strategies, challenges and opportunities for advancing your career and achieving success.

Breakout Sessions

Participants will connect with leaders and peers in small, interactive group discussions.

Networking Opportunity

Engage in candid conversations with peers and colleagues. Participants will have the opportunity to reconvene as the full group to network.

"I appreciated hearing what peer firms are doing and how they are thinking of the future. I liked we share best practices, challenges and ideas. Overall thought a very good event!"

— SIFMA Women's Leadership Forum 2020 Participant

the Harvard Club

35 West 44th Street

New York, NY 10036

www.hcny.com

Program

Coming soon! Stay tuned for our 2022 program announcement.

The 2016 Mobile Ad Summit will take place in the Penthouse suite of The Georgia Center Hotel, which is conveniently located in the heart of Atlanta. Sign in at the registration desk and head up to the top floor.

WoMEN'S LEAdership Forum kicks off in...

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VENUE

For sponsorship inquiries, please contact Diana Serri at 212.313.1258.

SIFMA's Strategic Partners

USEFUL INFORMATION

Registration Questions

Please contact SIFMA's C&L Society. Pre-registration is required and closes at 11:00 a.m. ET on Wednesday, January 19.

Access Instructions

Webinar access instructions will be sent from SIFMA's C&L Society.

Accessibility

It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact SIFMA Conferences.

Media Inquiries

Please contact Emily Reinus to register and for SIFMA's press policy.

Technical Requirements

For detailed information, including technical requirements and FAQs, view our Webinar Tips.

Code of Conduct

Inappropriate behavior at SIFMA events is not tolerated. View our Code of Conduct and anonymous incident report form.

Registration Cancellation Policy

- All cancellations will be subject to a $25 cancellation fee.
- No refunds will be granted for requests received after January 5, 2022. Refunds will not be given for no-shows.

"

Timely content and good flow to the discussions.

— SIFMA Ops Participant