Mark Seffinger, Co-Chair, SIFMA C&L Regional Seminar: Charlotte

Greg Ruppert, Executive Vice President, Member Supervision, FINRA

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

- SEC and FINRA enforcement priorities

- Regulatory developments and expected rulemakings

- Off-channel communications

- Cryptocurrency-related enforcement actions

- Negotiating with the government - Best practices and recent developments

Moderator:
Michael K. Freedman, Senior Vice President and Head of Regulatory Enforcement, Associate General Counsel, LPL Financial

Panelists:

Christopher Kelly, Senior Vice President and Deputy Head of Enforcement, FINRA

Noreen A. Kelly, Partner and Chair of Government Investigations and White Collar Litigation Department, McGuireWoods 

Alexander White, Associate General Counsel and Senior Vice President, Bank of America

Justin Jeffries, Associate Director, Division of Enforcement, Atlanta Regional Office, U.S. Securities and Exchange Commission (SEC)

Sponsored by Smarsh

- 2023 FINRA priorities and regulatory guidance impacting your AML program

- Sanctions - Russia, China: what’s next?

- AML Alphabet Soup—CIP, CDD, SARs, and other related issues

- Operating in the cloud of cannabis regulation

Moderator:

Jeffrey Harwin, Americas Head of Anti-Financial Crime Compliance, Deutsche Bank

Panelists:

Kelly Gentenaar, Chief AML Officer, LPL Financial

Inessa Owens, Associate General Counsel & Senior Vice President, Bank of America

Aseel Rabie, Counsel, Debevoise & Plimpton

Paul M. Tyrrell, Partner, Sidley Austin

- Bank regulation post SVB, Signature, and First Republic

- SEC custody rule

- Outlook for bank mergers and industry consolidation

- Impacts of bank regulation on affiliated broker-dealers

Moderator:

Phill Wertz, Associate General Counsel, Bank of America

Panelists:

Susan Hechtlinger, Wealth Chief Compliance Officer, Truist 

Ed O'Keefe, Head of Financial Regulatory Advice & Response, Moore & Van Allen

Rebecca Simmons, Partner, Sullivan & Cromwell LLP

 Sponsored by Moore & Van Allen

- Reasonably Available Alternatives and Form CRS delivery

- SEC/FINRA exam focus areas and enforcement trends

- Overview of DOL and potential fiduciary activity from the states

- Technology solution to assist with Reg BI compliance

Moderator:

Edward Rosenblatt, Senior Lead Counsel – Regulatory Enforcement and Investigations, Wells Fargo

Panelists:

Erica A. Green, Principal, Chief Compliance Officer – Vanguard Marketing Corporation, Vanguard

Alex McCoy, Senior Vice President, Risk & Compliance, LPL Financial

Lara C. Thyagarajan, Partner, Sidley Austin 

- ESG litigation claims update

- SEC vs. Cochran - Impact on challenges to Federal agency structure and jurisdiction

- Reg BI - Litigating claims and the impact of recent SEC guidance and FINRA actions

- Text messaging issues in litigation - Navigating document preservation, discovery and other issues

- Virtual and hybrid arbitrations - Is this still the norm or are we seeing more reversion to in person? What are the lessons learned three years in?

Moderator:

Matt Pearson, Associate General Counsel, Bank of America

Panelists:

Lisa Bebchick, Partner, Ropes & Gray

Neil Bloomfield, Co-Head of Financial Regulatory Advice and Response, Moore & Van Allen

Richard Davis, Shareholder, Maynard Nexsen LLP

Andrea Greene Wells, Principal, Bressler, Amery & Ross, P.C.

Sponsored by King & Spalding

- Use cases for AI in legal and compliance functions

- Legal and compliance considerations - privacy, employment, IP, etc.

- Regulatory and legislative actions impacting AI use

- Governing the use of AI at firms

Moderator:

Melissa MacGregor, Deputy General Counsel and Corporate Secretary, SIFMA

Panelists:
Jennifer Contegiacomo, Vice President of Legal Solutions & Chief of Staff, QuisLex, Inc.

Avi Gesser, Co-Chair of Data Strategy and Security Group, Debevoise & Plimpton
Peter Isajiw, Partner, King & Spalding

Anne-Marie Palfrey, Managing Director/Associate General Counsel, Deutsche Bank

Nekia Hackworth Jones, Esq., Atlanta Regional Director, U.S. Securities and Exchange Commission (SEC)

Moderator:

Christopher K. Williams, Vice President, Associate General Counsel, Fidelity Investments

Andrew Stemmer, Global Head of Litigation & Regulatory Enforcement, Deutsche Bank and Co-Chair of the SIFMA C&L Charlotte Regional Seminar

Sponsored by McGuireWoods