C&L Virtual Forum registration grants you access to the latest industry developments and key trends in an engaging virtual format.
Professionals of all levels can access insightful conversations with financial services leaders and regulators, valuable professional development opportunities, and timely and topical discussions from the industry’s foremost solution providers. CLE credits are available.
C&L Virtual Forum on demand content has expired. Content replays are available for 30 days after the event.
SVP and Chief of Staff, Member Supervision and Lead of Office of Strategy and Program Risk, Financial Industry Regulatory Authority (FINRA)
Moderator:
William E. White
Partner, Allen & Overy
- Proposals to treat independent contractors as employees
- Proposals to enhance retirement security
- Tax treatment proposals relevant to financial advisors
Moderator:
Claire Rajan
Partner, Allen & Overy
Panelists:
Managing Director and Associate General Counsel, SIFMA
SVP, Head of Government Relations, LPL Financial
Managing Director, Legislative and Regulatory Affairs, Charles Schwab & Co.
- Regulatory priorities - SEC, FINRA and states
- Defining DEPs
- Guardrails - How to get through these times and what to do right now
- Emerging risk and best practices
Moderator:
Nayra Calderon Najera
Managing Director – Digital, Marketing and Disclosure Management Compliance, Charles Schwab & Co.
Panelists:
Emily P. Gordy
Partner, McGuireWoods
Chief Compliance Officer, Vanguard Personalized Indexing Managment, LLC and Head of U.S. Direct Investor Advice Compliance
Senior Counsel, Allen & Overy
Chief Legal Officer, LPL Financial
President, SIFMA C&L Society
Moderator:
Barbara Armeli
Managing Director and Chief Compliance Officer, Charles Schwab & Co.
- Recent actions regarding Reg BI violations
- Exploring ways to improve public arbitrator pool
- Virtual and hybrid FINRA arbitrations
Moderator:
Shareholder and Chair of Executive Committee, Keesal, Young & Logan
Panelists:
David Jonson
SVP, Associate General Counsel – Head of Litigation and Arbitration, LPL Financial Holdings
Kevin Lewis
Director, Litigation and Regulatory Group, Charles Schwab & Co.
Partner, Sidley Austin
- What have firms learned regarding crisis management since the start of COVID-19?
- Models and key elements of crisis management programs (leading through uncertainty)
- Being prepared for the next crisis: Identifying emerging risks
Moderator:
John O'Neill
EVP, Head of Strategy, Operations and Frontline Experience – Compliance, Legal and Risk, LPL Financial
Panelists:
Partner, Sidley Austin
Senior Special Counsel, Office of Technology Controls Program, Division of Examinations, U.S. Securities and Exchange
Managing Director - Retail Compliance, Charles Schwab & Co.
- Evolving role of compliance, with a focus toward risk management
- CCO liability
- SEC and the new initiative from DOJ to require CCO attestations on settlements and the ramifications
Moderator:
Nader Salehi
Partner, Kirkland & Ellis
Panelists:
Erika Engelson
Americas Head of Litigation and Associate General Counsel, Deutsche Bank
Chief Compliance Officer, Baird
EVP and Head of Compliance, Wells Fargo
Our program will seek CLE credits in California and New York; please stay tuned for details.
It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Fee reduction may be available for qualified registrants. View SIFMA's Hardship Policy.
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For sponsorship inquiries, please contact Scott Kramer at 212.313.1119.
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SIFMA’s C&L Society is the leading forum for compliance and legal professionals working in the financial services industry. With a rich 50+ year history, it provides a unique opportunity for industry leaders and regulators to come together to share information and collaborate with the goal of ensuring our capital markets are the most fair, transparent and ethical in the world.
