C&L Virtual Forum 2022 | Virtual Access

Sep

10:00am–10:40AM

Lead with insight

Presentation by Hadley Mullin, TSG’s Senior Managing Director and our Vice President, Adam Hemmer.

Speaker

Hadley Mullin

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SENIOR MANAGING DIRECTOR

Speaker

Hadley Mullin

SENIOR MANAGING DIRECTOR

Speaker

Hadley Mullin

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SENIOR MANAGING DIRECTOR

Speaker

Hadley Mullin

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SENIOR MANAGING DIRECTOR

Speaker

Hadley Mullin

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SENIOR MANAGING DIRECTOR

Speaker

Hadley Mullin

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SENIOR MANAGING DIRECTOR

Speaker

Hadley Mullin

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SENIOR MANAGING DIRECTOR

Speaker

Hadley Mullin

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SENIOR MANAGING DIRECTOR

Helpful Hints

Program

SIFMA Events

C&L Virtual Forum 2022 | Virtual Access

C&L VIRTUAL FORUM

November 15 – 16, 2022

Hosted by SIFMA's Compliance & Legal Society

DAY 1 | November 15

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DAY 2 | November 16

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DAY 3 | OCTOBER 7

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ON DEMAND

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SPONSORS

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ON DEMAND

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On Demand

Welcome Remarks & One-on-One Conversation

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SENIOR MANAGING DIRECTOR

On Demand

Government Hot Topics - Current Legislative Issues Affecting Wealth Management

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SENIOR MANAGING DIRECTOR

On Demand

Digital Engagement Practices, Trends and Regulatory Considerations

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MANAGER

DAY 2 | Wednesday, November 16

On Demand

Learning Lab: Coffee, Tea and SEC Sponsored by Sidley

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SENIOR MANAGING DIRECTOR

On Demand

Welcome Remarks & One-on-One Conversation

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MANAGER

On Demand

Current Developments on Litigation and Arbitration

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MANAGER

On Demand

Adapting and Navigating the Playbook in Times of Crises

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MANAGER

On Demand

CCO Liability and the Changing Role of Compliance

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SENIOR MANAGING DIRECTOR

DAY 3 | THURSDAY, OCTOBER 7

11:20 a.m. – 11:35 a.m. ET

Sponsored Digital Learning Lab: Hearsay Systems: Forging the Right Human-Digital Mix in Wealth Management

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SENIOR MANAGING DIRECTOR

11:40 a.m. – 11:55 a.m. ET

Sponsored Digital Learning Lab: Dow Jones: Millennial Investors: Rewriting the Narrative

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SENIOR MANAGING DIRECTOR

12:00 p.m. – 12:30 p.m. ET

Opening Remarks and
The Future of Wealth Management: The Best is Yet to Come

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MANAGER

12:35 p.m. – 1:15 p.m. ET

Technology Panel

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MANAGER

1:20 p.m. – 1:40 p.m. ET

Optimism and Opportunity
in a Post-Pandemic World:
The Rise of a New Generation

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MANAGER

1:55 p.m. – 2:40 p.m. ET

Financial Advisor Panel

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SENIOR MANAGING DIRECTOR

2:45 p.m. – 3:05 p.m. ET

One-on-One Conversation with Paul Reilly, Raymond James Financial

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SENIOR MANAGING DIRECTOR

DAY 3 | THURSDAY, OCTOBER 7

8:15 a.m. – 8:45 a.m. ET

Post Covid Observations: A View from a Market Infrastructure Provider

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SENIOR MANAGING DIRECTOR

8:45 a.m. – 9:15 a.m. ET

Data Privacy Exposure

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MANAGER

9:15 a.m. – 10:15 a.m. ET

Featured Panel – Buyside Operations – The Future is Now

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MANAGER

On Demand

All content is available to view at your leisure for 30 days.

11:20 a.m. – 11:35 a.m. ET

Sponsored Digital Learning Lab: Hearsay Systems: Forging the Right Human-Digital Mix in Wealth Management

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SENIOR MANAGING DIRECTOR

11:40 a.m. – 11:55 a.m. ET

Sponsored Digital Learning Lab: Dow Jones: Millennial Investors: Rewriting the Narrative

View Session

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SENIOR MANAGING DIRECTOR

12:00 p.m. – 12:30 p.m. ET

Opening Remarks and
The Future of Wealth Management: The Best is Yet to Come

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MANAGER

12:35 p.m. – 1:15 p.m. ET

Technology Panel

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MANAGER

1:20 p.m. – 1:40 p.m. ET

Optimism and Opportunity
in a Post-Pandemic World:
The Rise of a New Generation

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MANAGER

1:55 p.m. – 2:40 p.m. ET

Financial Advisor Panel

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SENIOR MANAGING DIRECTOR

2:45 p.m. – 3:05 p.m. ET

One-on-One Conversation with Paul Reilly, Raymond James Financial

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SENIOR MANAGING DIRECTOR

Speaker

Sponsored Digital Learning Lab: Refinitiv: The Digital Wealth Agenda: Advancing the Advisor Experience

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SENIOR MANAGING DIRECTOR

Speaker

Opening Remarks and
The Art (& Science) of Client Relationships

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SENIOR MANAGING DIRECTOR

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Diversity, Equity, and Inclusion in Private Wealth Management Panel

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SENIOR MANAGING DIRECTOR

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Big Lessons from a Small Firm’s Global Pandemic Story

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SENIOR MANAGING DIRECTOR

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One-on-One Conversation with Vincent J. Lumia, Morgan Stanley

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SENIOR MANAGING DIRECTOR

Speaker

The Branch Office of the
Future Panel

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SENIOR MANAGING DIRECTOR

Speaker

The View from Washington

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SENIOR MANAGING DIRECTOR

DAY 1 | WEDNESDAY, MAY 26, 2021

12:00 pm – 12:30 pm

Keynote Speaker -
Andy Sieg, Merrill Lynch Wealth Management

MANAGER

Speaker

Bailey Holmes

MANAGER

Speaker

Bailey Holmes

MANAGER

Speaker

Bailey Holmes

manager

Agenda

10 - 12 PM

Keynote

RSVP and join us for an exciting night of networking and discussion.

12 - 2 PM

Lunch

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2 - 4 PM

Keynote

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4 - 6 PM

Happy Hour

RSVP and join us for an exciting night of networking and discussion.

THANK YOU TO OUR SPONSORS