Name: C&L Society Forum: Boston
Start: 2025-10-30T15:00:00-04:00
End: 2025-10-30T18:00:00-04:00
Location: WilmerHale

Thursday

,

June

13

,

2024

3:00pm

-

6:00pm

EDT

C&L Society Forum: Boston

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C&L society forum

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October 30, 2025 | WilmerHale

spend your afternoon with sifma C&L!

Hear insightful discussions, cultivate your network of industry contacts, and earn CLE credits with the SIFMA Compliance & Legal Society.

Please register promptly to reserve your seat as space is limited. You are encouraged to invite a colleague to join you and learn more about the C&L Society.

spend your afternoon with sifma C&L In Boston!

Join SIFMA's Compliance & Legal Society for an engaging afternoon of timely discussions, peer networking, and the opportunity to earn CLE credits.

Space is limited—register today to secure your seat. Share the experience! We encourage you to invite a colleague to attend and learn more about the C&L Society.

“

”

The discussions were timely, relevant, and offered unique insights not often covered elsewhere.

— 2024 Boston Forum Participant

KEYNOTE SPEAKERS

Kate McKinley

Chief Legal Officer and Corporate Secretary

Allspring

Dave Heaton

Title

Bank of America Merrill Lynch

OUR SPEAKERS

Noel Barnes

Commonwealth

Charles DeSimone

SIFMA

Justin McCormack

State Street

David Heaton

Bank of America Merrill Lynch

Melissa MacGregor

SIFMA

Kate McKinley

Allspring

Jeremy Moorehouse

WilmerHale

Talis Seja

Fidelity

OUR SPEAKERS

Abigail Armstrong

Commonwealth Financial Network

Kenneth E. Bentsen, Jr.

SIFMA

Amber Breimeir

LPL Financial

Katie Fallon

Fidelity Investments

Nick Losurdo

Goodwin Procter

Julie Lyman

Bank of America Merrill Lynch

PROGRAM

All times are in ET and subject to change.

3:00 p.m. - 6:00 p.m.

Registration Hours

3:30 p.m. - 3:35 p.m.

Welcome Remarks

3:35 p.m. - 4:25 p.m.

Panel Discussion: Digital Assets: Still Not a Security (Until the SEC Says So)

• Explore how cryptocurrencies, stablecoins, tokenized assets, and NFTs are transforming financial, legal, and regulatory landscapes.

• Examine the legal classification of tokens and implications under securities, commodities, and banking laws

• Understand the current and emerging legal requirements governing digital assets.

• Unpack risk and operational risks tied to the custody, safekeeping, and transfer of digital assets.

• Discover actionable compliance frameworks, governance models, and best practices for digital asset oversight.

Panelists:

Noel Barnes, Commonwealth

Charles DeSimone, SIFMA

Justin McCormack, State Street

Talis Seja, Fidelity

Moderator:

Jeremy Moorehouse, WilmerHale

4:25 p.m. - 5:05 p.m.

Keynote Discussion: Insights from Boston's Senior Legal Leaders

Panelists:

David Heaton, Bank of America Merrill Lynch

Kate McKinley, Allspring Global Investments

Moderator:

Melissa MacGregor, SIFMA

5:05 p.m. - 5:10 p.m.

Closing Remarks

5:10 p.m. - 6:00 p.m.

Networking Reception

PROGRAM

All times are in ET and subject to change.

3:00 p.m. - 6:00 p.m.

Registration Hours

3:30 p.m. - 3:35 p.m.

Welcome Remarks

Saima Ahmed, SIFMA

3:35 p.m. - 4:05 p.m.

Perspectives on Regulatory and Legislative Policy Ahead of the 2024 Elections

A one-on-one conversation with Fidelity's Executive Vice President and Head of Corporate Affairs.

Speaker:

Katie Fallon, Fidelity Investments

Moderator:

Kenneth E. Bentsen, Jr., SIFMA

4:05 p.m. - 4:55 p.m.

Panel Discussion: Which Hat Will I Wear Today?

A panel of internal and outside counsels will discuss the potential difficulties faced by financial advisors when advising clients who invest through brokerage, investment advisory or trust accounts, including questions such as:

• What is the definition of fiduciary now that there is Reg BI, the DOL Rule, the Investment Advisers Act and state trust law?

• What are the pros/cons to structuring platforms and products on the front end versus supervising post-recommendation/sale?

Panelists:

Abigail Armstrong, Commonwealth Financial Network

Amber Breimeir, LPL Financial

Julie Lyman, Merrill Lynch

Moderator:

Nick Losurdo, Goodwin Procter

4:55 p.m. - 5:00 p.m.

Closing Remarks

Peggy Ho, Commonwealth Financial Network

5:00 p.m. - 6:00 p.m.

Networking Reception

CLE Credits

We are seeking CLE credit in Massachusetts and New York State.

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. Participants seeking credit will receive CLE certificates within 60 days of the conclusion of the event. Registration fee reduction may be available for qualified registrants; please view our hardship policy to learn more.

CLE Credits

We are seeking CLE credit in New York State.

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. Participants seeking credit will receive CLE certificates within 60 days of the conclusion of the event. Registration fee reduction may be available for qualified registrants; please view our hardship policy to learn more.

“

”

The programming was on point with engaging speakers.

— 2024 Boston Forum Participant

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

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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To discuss sponsorship opportunities, please contact Scott Kramer at 212.313.1119.

SIFMA's Strategic Partners

Venue

VENUE

Get Directions

VENUE

WilmerHale
60 State St
Boston, MA 02109

Get Directions

REGISTer

SIFMA Member Rate

$75

Non-Member Rate

$99

Regulator Rate

$75

Register Now

Add to Calendar

SIFMA membership is firm-wide! All employees of a member firm are eligible for Member Rates. View our Member Directory to see if you qualify. Interested in membership? Learn more about the benefits of being a SIFMA member.

REGISTer

SIFMA Member Rate

$75

Non-Member Rate

$150

Regulator Rate

$60

Register Now

Add to Calendar

SIFMA membership is firm-wide! All employees of a member firm are eligible for Member Rates. View our Member Directory to see if you qualify. Interested in membership? Learn more about the benefits of being a SIFMA member.

USEFUL INFORMATION

Registration Questions

Please contact the SIFMA C&L Society.

Media Inquiries

This Seminar is closed to members of the media. All comments are off the record and not intended for distribution in any manner.

Code of Conduct

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

Cancelations

Cancelations received by August 29 will receive a refund minus a $25 processing fee. Substitutions are welcome. Please contact the SIFMA C&L Society.

Accessibility

It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact the SIFMA C&L Society.

Health & Safety

We closely follow guidelines from the CDC as well as state and local officials.

USEFUL INFORMATION

Registration Questions

Please contact the SIFMA C&L Society.

Media Inquiries

This Seminar is closed to members of the media. All comments are off the record and not intended for distribution in any manner.

Code of Conduct

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

Cancelations

Cancelations received by October 16 will receive a refund minus a $25 processing fee. Substitutions are welcome. Please contact the SIFMA C&L Society.

Accessibility

It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact the SIFMA C&L Society.

Health & Safety

We closely follow guidelines from the CDC as well as state and local officials.

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