Moderator:
Stephen (Chip) Verrone, Managing Director, EY
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Panelists:
Gautam Das, Head of Accounting Policy, Deputy Chief Accounting Officer, Jefferies
Amy Emens, Partner, PwC
Chris Johnson, Partner, CroweÂ
Generative Artificial Intelligence (gen AI) and Large Language Models (LLM) are taking the world by storm, presenting numerous opportunities to create business efficiencies. While the new technologies offer many potential benefits to firms, regulators and investors, they also introduce unique risks.
In this session, FINRA's Andrew McElduff and Haime Workie, who are closely looking at these technologies and following developments in this space, will discuss how FINRA is looking at and thinking about gen AI when it comes to its own business and what it's looking at and seeing when it comes to firms' use of these tools.
Speakers:
Andrew McElduff, Vice President, Member Supervision's Risk Monitoring Team, FINRA
Haimera Workie, Vice President, Head of FINRA's Office of Financial Innovation, FINRA
In December 2023, the SEC mandated that secondary trading of most US Treasury and repo transactions be cleared via a central clearing agency, such as DTCC's Fixed Income Clearing Corporation (FICC). This mandate – with key compliance dates of December 31, 2026, for eligible cash market transactions, and June 30, 2027, for eligible repo market transactions – will fundamentally change the way those trades are processed and accounted for and affect the business models of firms that are active in US Treasuries.
There is much to be considered between now and the compliance dates and this panel of experts will discuss the legal, regulatory, operational, and accounting aspects of the mandate.
Moderator:
George Black, Principal, Deloitte
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Panelists:
Kerrie Cadugan, Managing Director, EY
Brandon Hammer, Partner, Cleary Gottlieb
James Hraska, Head of Client Solutions, Clearing and Settlement, DTCC
This session is a candid, personal conversation about leadership, career growth, and navigating the evolving world of broker-dealer finance, accounting, and audit.
With perspectives from emerging leaders, mid-career professionals, and seasoned executives, we will explore:
• The defining moments that shaped their careers
• How they have grown as leaders and adapted to change
• The role of automation, AI, and operational excellence (OpEx) in leadership and career development
• Lessons learned from navigating challenges in finance leadership
Moderator:
Brennan H.N. McMurry, Vice President, Financial and Regulatory Controller, Citadel and Citadel Securities
Panelists:
Muhammad Alam, Senior Securities Compliance Examiner, SEC
Lance Deal, Managing Director, Forvis Mazars
Shirley Pezantes, Vice President - BCI, US Regulatory Reporting, Barclays
Jane Sytsma, CFO, Director of US Finance and Accounting, Citadel Securities Canada
Inflation concerns, increasing recession risk, and, importantly, the uncertainty over tariff policy and the potential for retaliatory trade wars continue to weigh on – not only U.S. but global – markets. Uncertainty has been the only certainty this year, which has driven volatility and volumes higher.
This panel will walk through the economic and macro factors impacting markets today and then explore Washington's role in driving them. From fiscal policy to the regulatory agenda, you'll discover the intersection between markets and Washington and, through a series of timely examples, understand how SIFMA navigates through this landscape to address the industry's top priorities.
Speakers:
Katie Kolchin, CFA, Managing Director, Head of Research, SIFMA
Carter McDowell, Managing Director, Associate General Counsel, SIFMA
Moderator:
Joseph L. Seidel, Chief Operating Officer, SIFMA
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Speaker:
Steve Booth, Chairman & CEO, Baird Financial Group
This economic update will provide a thorough outlook on the US economy, updates on the rate environment and the Federal Reserve and the effects of tariffs, reductions in immigration and inflation on the broader economy. Attendees will receive insights and data to apply to business strategies, corporate decision-making, evaluations of new business opportunities, and other operational areas.
Speaker:
Diane Swonk, Chief Economist, KPMG US
This panel includes key representatives from regulatory agencies that write, interpret, supervise, and examine the financial regulatory reporting requirements which apply to banks, securities firms, futures commission merchants, and SEC and CFTC registered swap dealers. The format for this session is a Q&A: bring your questions to this dynamic discussion.
Moderator:
Michael P. Jamroz, Retired Partner, Senior Advisor Under Contract, Deloitte
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Panelists:
Michael A. Macchiaroli, Associate Director, Division of Trading and Markets, SEC
Thomas J. Smith, Deputy Director, Division of Swap Dealer and Intermediary Oversight, CFTC
Dale Spoljaric, CPA, CFE, Vice President, Capital & Exams, National Futures Association
Bill Wollman, Executive Vice President, Head of Office of Financial and Operational Risk Policy, FINRA
Speaker:
Michael P. Jamroz, Retired Partner, Senior Advisor Under Contract, Deloitte
