Name: C&L Regional Seminar: St. Louis - 2024 PROGRAM
Start: 2024-06-04T08:00:00-04:00
End: 2024-06-04T17:30:00-04:00
Location: Edward Jones Conference Center

12pm - 1pm

How to Build Schedule Blocks

Tuesday, June 4, 2024

8:00 a.m. – 5:30 p.m. CT

join us in st. louis!

Join SIFMA's Compliance & Legal Society on Tuesday, June 4, 2024 for our Regional Seminar in St. Louis.

C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices, informative content and focused networking opportunities in the increasingly complex and changing regulatory and compliance arenas.

PROGRAM

All times are in CT and subject to change. Check back for updates!

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

Registration Hours

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

Networking Breakfast

Sponsored By Morgan Lewis LLP

10:30 a.m. - 11:30 a.m.

Handle With Care: Evolving Standards of Care

-Reg BI, Recent Guidance & Best Practices
-DOL Fiduciary Rule Proposal
-NASAA Model Rule Proposal & State Rules

Moderator:

Valerie Mirko, Armstrong Teasdale

Panelists:

Gwendolyn Taylor, Benjamin F. Edwards

Lee Thoresen, RBC Wealth Management

Orit Weinstein, D.A. Davidson

11:30 a.m. - 12:30 p.m.

Hackers, Fraudsters, & Scammers, Oh My! Hot Topics in Cybersecurity

• Trend Spotting
• CISO liability/SolarWinds
• Regulatory developments and priorities
• Working with Regulators and Law Enforcement

Moderator:

Roy Ben-Hur, Deloitte

Panelists:

Su Gaustad, Ameriprise Financial

Christopher Kelly, CSG Law
Carmi Moser, FINRA

12:30 p.m. - 1:30 p.m.

Networking Luncheon

1:30 p.m. - 2:30 p.m.

What The Heck is Happening? Recent Regulatory Developments

• Changes in Foreign Sanctions Policy
• Rise in Conflicting State Regulations on ESG, Privacy, Standards of Care
• Evolution of Off-Channel Communication Programs

Moderator:

Jim Fiebelkorn, Edward Jones

Panelists:

Akinyemi T. Akiwowo, Morgan Stanley
Carrie Bechtold, Wells Fargo

Michael Manly, FINRA
Emily Renshaw, Morgan Lewis

2:30 p.m. – 3:00 p.m.

One-on-One Conversation with First Deputy Insurance Commissioner Andrew Hartnett

Moderator:

Keir Gumbs, Edward Jones

Speaker:

Andrew Hartnett, Iowa Insurance Division

3:00 p.m. - 3:25 p.m.

Networking Break

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

Current Developments in Litigation and Arbitration

• Hot Topics in Competitive Claims
• Trends in Customer Claims
• Challenges with Independents and Affiliates

Moderator:
Nancy Hendrickson, D.A. Davidson

Panelists:

James Browning, Stifel
Tina Samanta, Gibson, Dunn & Crutcher LLP
Eleonora Yonge, LPL

4:25 p.m. – 4:30 p.m.

Closing Remarks

Rich Link, Edward Jones

4:30 p.m. – 5:30 p.m.

Networking Reception

Sponsored by Gibson, Dunn & Crutcher LLP

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