Name: C&L Society Forum
Start: 2025-09-30T15:00:00-04:00
End: 2025-09-30T18:00:00-04:00
Location: Fordham Law School New York

Thursday

,

June

13

,

2024

3:00pm

-

6:00pm

EDT

C&L Society Forum

REGISTER NOW

C&L society forum

Hosted by the C&L Society Future Leaders

September 30, 2025 | Fordham Law School New York

welcome to the c&l forum in new york!

Hear insightful discussions, cultivate your network of industry contacts, and earn CLE credits with the SIFMA Compliance & Legal Society at our afternoon Forum in New York City. This June, we're gathering for a one-on-one conversation with SEC Regional Director Antonia Apps and a panel discussion exploring the landscape for securities enforcement.

This Forum is hosted by the Future Leaders of the SIFMA C&L Society. Make sure to also check out our Regional Seminar in New York City.

Thanks For Joining us!

The SIFMA Compliance & Legal Society's Future Leaders Forum was a success! We had an insightful afternoon unpacking key issues shaping the legal and compliance landscape in financial services.

Mark Your Calendar

Mark your Calendar! The Future Leaders will be back in New York City on Tuesday, September 30 for the next SIFMA C&L Forum. Registration will open this summer.

Spend an AFternoon with THe C&L Future Leaders!

Join the SIFMA Compliance & Legal Society for an afternoon of insightful discussions, networking, and the opportunity to earn CLE credits at our afternoon Forum in New York City this fall.

Hosted by the Future Leaders of the SIFMA C&L Society, this Forum offers a unique chance to connect with C&L professionals and stay ahead of key developments within the industry. Space is limited, register promptly to secure your seat and invite a colleague to join you!

KEYNOTE SPEAKERS

FirstName Last Name

Title

Organization

FirstName Last Name

Title

Organization

OUR SPEAKERS

Antonia Apps

U.S. Securities and Exchange Commission

Todd Beaton

McGuireWoods

Erika Engelson

Deutsche Bank AG

Mojan Foroutan

Interactive Brokers LLC

Liz Lyons

Edward Jones

Jack Sena

Bank of America

FEATURED SPEAKERS

Norm Ashkenas

Chief Compliance Officer

Robinhood

Lauren Boone

Vice President Compliance Officer

Goldman Sachs Asset Management

Gene DeMaio

Head of Regulatory Services

FINRA

Kyu Kang

Executive Director, Advisory Products Compliance

UBS

Sheila Murphy

CEO

Focus Forward Consulting

Sara Raisner

Partner

A&O Shearman

OUR SPEAKERS

Etienne Barg-Townsend

Director, Strategy & Business Management

BMO Capital Markets Corp.

Brian Boxler

Counsel-Vice President

Rockefeller

Scott Eckel

Managing Director, Legislative and Regulatory Affairs

Charles Schwab

Peter Isajiw

Partner

Clifford Chance

Rob Khuzami

Chief Legal Officer

Guggenheim Partners LLC

Jessica Seo

Vice President Regulatory Affairs – Commercial and Investment Bank

JP Morgan

Josh Wilsusen

Executive Vice President

SIFMA

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. - 4:05 p.m.

One-on-One Conversation with the SEC Regional Director Antonia Apps

Speaker:

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

Moderated by:

Liz Lyons, Department Leader, Senior Compliance Counsel, Edward Jones

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

Panel Discussion: 2024 Securities Enforcement Update

Moderated by:

Mojan Foroutan, Associate General Counsel, Interactive Brokers

Panelists:

Todd M. Beaton, Jr., Partner, McGuireWoods
Erika Engelson, Director and Associate General Counsel, Americas Co-Head of Litigation and Regulatory Enforcement, Deutsche Bank
Joaquin (Jack) Sena, Deputy General Counsel, Bank of America

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

Closing Remarks

5:00 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

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

One-on-One Conversation with Rob Khuzami

Speaker:

Robert Khuzami, Chief Legal Officer, Guggenheim Partners LLC

Moderated by:

Brian Boxler, Counsel-Vice President, Rockefeller

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

Washington Outlook: Impact on Markets

Moderated by:

Etienne Barg-Townsend, Director, Strategy & Business Management, BMO Capital Markets Corp.

Panelists:

Scott Eckel, Managing Director, Legislative and Regulatory Affairs, Charles Schwab

Peter Isajiw, Partner, Clifford Chance

Jessica Seo, Vice President Regulatory Affairs – Commercial and Investment Bank, JP Morgan

Josh Wilsusen, Executive Vice President, Advocacy, SIFMA

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

Closing Remarks

5:00 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

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

One-on-One Conversation with Gene DeMaio

Moderated by:

Elizabeth Virga, Executive Director, Sumitomo Mitsui Banking Corporation

Speaker:

Gene DeMaio, Head of Regulatory Services, FINRA

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

Navigating Your Career Journey: Strategies for Every Stage

Our expert panelists will share real-world strategies for navigating your career, including:

• Managing your career at different stages
• Self-advocacy during pivotal junctions and career transitions

• Identifying and leveraging mentors and sponsors
• Building and maintaining strong internal and external networks

Moderated by:

Sheila Murphy, CEO, Focus Forward Consulting

Panelists:

Norm Ashkenas, Chief Compliance Officer, Robinhood

Lauren Boone, Vice President, Goldman Sachs

Kyu Kang, Executive Director, Advisory Products Compliance, UBS

Sara Raisner, Partner, A&O Shearman

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

Closing Remarks

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

Networking Reception

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.

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.

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

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REGISTer

SIFMA Member Rate

$49

Non-Member Rate

$75

Regulator Rate

$49

Join Waitlist

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

$65

Non-Member Rate

$99

Regulator Rate

$49

Join Waitlist

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

$65

Non-Member Rate

$99

Regulator Rate

$49

REGISTER

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 media participation.

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 May 30 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 Forum is closed to media participation.

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 September 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.