On Demand Sessions
Thursday, September 24
Wednesday, September 23
10:00 AM – 11:00 AM – LIVE: Virtual Exhibit Hall During this allotted time, visit sponsors, ask questions, and learn from fellow colleagues about industry topics.
11:00 AM – 11:05 AM – LIVE: Welcome Remarks
11:05 AM – 12:05 PM – LIVE: A Conversation with Political Commentators James Carville and Mary Matalin
1:25 PM – 3:00 PM – Break - Exhibit Hall Open
12:10 PM – 1:25 PM – LIVE: Enforcement PanelHear from leaders in the enforcement community on the latest industry developments, including:• the top issues and trends in enforcement• agency priorities• cooperation, investigation length, whistleblowing, and criminal liability for corporations• new areas of enforcement, especially developments in the digital/crypto space
MODERATOREric Grossman Morgan Stanley
Stephanie Avakian SEC
Jessica Hopper FINRA
Jacquelyn Kasulis US Attorneys Office
James McDonald CFTC
September 23–24, 2020A gathering for regulators and industry professionals to exchange ideas and empower success
10:00 AM – 11:00 AM – LIVE: Virtual Exhibit HallDuring this allotted time, visit sponsors, ask questions, and learn from fellow colleagues about industry topics.
11:00 AM – 11:05 AM – LIVE: Welcome Remarks
11:05 AM – 11:35 AM – LIVE: One-on-One Conversation with Robert Cook
11:45 AM – 12:45 PM – LIVE: COVID-19: Lessons Learned for Compliance & Legal Professionals• Operational capacity – what does this mean for systems access, especially trading
businesses• Meeting regulatory obligations for oversight in this COVID-19 environment. Anticipating
unique risks in this new operating structure.• Supervisory and management challenges with remote staff and related information
security challenges• Discuss today’s challenges of internal and external communications and recordkeeping• Considerations for Return-to-Work plans
MODERATORJamie Wall
SIFMA
Mary Matalin James Carville
MODERATORIra D. Hammerman
SIFMA
Robert CookFINRA
The following On demand content will be loaded on September 23rd at 11:00 AM EST and will be available until December 31st. Please view at your leisure and if you are seeking CLE credit, please complete a CLE form for each session. You must submit each affirmation form immediately following the completion of each webinar to [email protected] by December 31st for credit.
C&L VIRTUAL FORUM CHAIRPERSONScott Kursman
Citi
LIVE
LIVE
C&L VIRTUAL FORUM CHAIRPERSONScott Kursman
Citi
Chase D’AgostinoQuisLex
Christopher Schell Davis Polk & Wardwell
Marcy Cohen ING Americas
An AI Enabled Holistic Solution to LIBOR Repapering*sponsored by QuisLex
MODERATORLindsay Jackson
Morgan Lewis
Lisa Bleier SIFMA
DOL Take 3: Proposed Investment Advice Exemption and Five-Part Test Interpretation*sponsored by Morgan Lewis
Jason Pugh D2 Legal Technology
Wednesday, September 23
Thursday, September 24
On Demand Sessions
Sponsors
MODERATORMary Reisert
Citi
Brad Karp Paul Weiss
Jay Kasner Skadden, Arps,
Slate, Meagher & Flom LLP
Adam Hakki Shearman & Sterling
Jonathan Rosenberg O’Melveny & Myers
Sharon Nelles Sullivan & Cromwell
Civil Litigation Update: Securities Class Actions and other Major Civil Cases
MODERATORDavid Markowitz Goldman Sachs
George Canellos Milbank LLP
Susan Merrill Sidley Austin LLP
Matthew Fitzwater Barclays
Theodore Wells Jr. Paul Weiss
Craig Carpenito New Jersey
Department of Justice
Litigate or Settle?: Current Considerations in Handling Enforcement Matters Against Firms and Individuals
MODERATORDarian Futrell
Goldman Sachs
Jodi Huckabee Barclays
Sandra Galvis Credit Suisse
C.B. Richardson Citi
Todd BaskinBank of America
Michael KaplanDavis Polk
Legal & Compliance Issues in Investment Banking
Ethics CLE
Credit
MODERATORGleennia Napper Deutsche Bank
Macey Russell Choate, Hall &
Stewart
Autumn Hunter Bank of America
Peggy Ho LPL Financial LLC
Debo Adegbile WilmerHale
Ethical Considerations and Current Developments in Diversity & Inclusion
MODERATORAlison Morpugo
UBS
Lucas Glass Wells Fargo
John Weitzer HSBC
Charlotte Stalin Simmons & Simmons
Belinda Blaine Morgan Stanley
Establishing and Maintaining a Robust Cross-Border Program
MODERATORAngie Karna
Nomura
Matthew DantonBarclays
Michael OttenNFA
Josh SterlingCFTC
Colin LloydCleary Gottlieb
Legal and Compliance Considerations for Swap Dealers
MODERATORJennifer Grego Morgan Stanley
Brad Ahrens Charles Schwab
Steven Polansky FINRA
Joe PolizzottoQuisLex
Edward O’Keefe Moore & Van Allen
Leveraging Technology in Compliance & Legal, and the Challenges of Digital Services
MODERATORMelissa MacGregor
SIFMA
Larry Bortstein Bortstein Legal
Group
Mike Di Stephan Morgan Stanley
Cassandra Lentchner Pillsbury Winthrop
Behnaz Kibria Google
Hey, You, Get Onto Our Cloud: Legal and Compliance Cloud Storage Issues
MODERATORStephen Bard Wells Fargo
Iain Duke-Richardet Hearsay
Amy Sochard FINRA
Casey Whalley Edward Jones
Paul Merolla Murphy McGonigle
Compliance and Legal Challenges of Social Media and New Communications Technology
Anne Tennant Morgan Stanley
William St. Louis FINRA
Hilary Sunghee Seo Allen & Overy
Corin Swift Sidley Austin LLP
Private Client Firms: Key Legal & Reg BI Updates
MODERATORJames Crowe Edward Jones
Cheryl L. Haas McGuireWoods
Linda Drucker Bank of the West
Kenneth Crowley UBS
Richard W. Berry FINRA
Arbitration 2020
MODERATORDanielle Tarasen Raymond James
Ann C. McCaguePiper Sandler & Co.
Pamela RootDeutsche Bank
Raul F. YanesMorgan Stanley
MODERATORBarbara Stettner
Allen & Overy
Global Chief Compliance Officer Outlook
Billy JacobsonAllen & Overy
Jonathan LopezAllen & Overy
Claire RajanAllen & Overy
FCPA Cross-Border + Financial Institutions Enforcement Trends*sponsored by Allen & Overy
Forecasting FINRA Arbitration Trends for 2021*sponsored by Bressler, Amery & Ross
Annette NazarethDavis Polk
Brian BrooksOCC
Fireside Chat with Brian Brooks, Acting Comptroller of the Currency*sponsored by Davis Polk
Strengthen Your Advisor Workflow for Regulation Best Interest*sponsored by Morningstar
*To Be Announced
*More To Be Announced
Logan FisherBressler, Amery &
Ross
Kathryn D. PerreaultBressler, Amery &
Ross
David BuffaBressler, Amery &
Ross
Joelle SimmsBressler, Amery &
Ross
Real-life Revolution: How Compliance Functions are Leveraging Innovation to Become More Aligned, Efficient, and Tech-Enabled*sponsored by Protiviti
Shelley Metz-GallowayProtiviti
Lucy PearmanProtiviti
James R. CarrollSkadden, Arps, Slate, Meagher & Flom LLP
Jay B. KasnerSkadden, Arps, Slate, Meagher & Flom LLP
Developments and Trends in Securities Litigation: Mid-Year Update 2020*sponsored by Skadden
Scott D. MusoffSkadden, Arps, Slate, Meagher & Flom LLP
Alisha Q. NandaSkadden, Arps, Slate, Meagher & Flom LLP
Noelle M. ReedSkadden, Arps, Slate, Meagher & Flom LLP
Robert CruzSmarsh
Stay at Home Workforce: Best Practices for the Compliant Adoption of Collaboration Platforms*sponsored by Smarsh
*More Sessions to be Announced
Broker-Dealer Issues & Considerations Relating to LIBOR Cessation*sponsored by Mayer Brown
Kevin LaCroixRT ProExec.
2:00 PM – 4:00PM – Break - Exhibit Hall Open
4:00 PM – 5:15 PM – LIVE: General Counsel Roundtable
MODERATORKaren Patton
Seymour Goldman Sachs
Eric Grossman Morgan Stanley
Karen Wilson Thissen Ameriprise
Adam Meshel Citi
Christopher Lewis Edward Jones
Stephen Cutler Simpson Thacher
Christopher LewisEdward Jones
Robert Marchman SEC
MODERATORElaine Mandelbaum Interactive BrokersSIFMA C&L Society
President
Grace Speights Morgan, Lewis &
Bockius LLP
12:55 PM – 2:00 PM – LIVE: Leadership Matters: Meaningful, Measured Impact in Diversity and InclusionThis panel will take a deeper dive into how today’s financial industry leadership work must be a matter of effective planning, specific action, and shared teamwork — in order to impact diversity and inclusion. As a result of the global pandemic and recent events (revealing the dire need to address diversity inequalities), participants will gain insights about • what organizations can employ when identifying/implementing their diversity goals and
measurable outcomes • what barriers (and answers) leaders currently face/activate when expected to move their
organizations forward to more “meaningful and measured” work — together
Marlon PazMayer Brown
Michael BroadberyGoldman Sachs
Andy CadelCiti
Kevin H. DunnNational Institute for Occupational Safety
and Health
MODERATORAmy J. Greer
Baker & McKenzie LLP
Emily Westerberg Russell
SEC
Lee ThoresenRBC
Jason KellyEdward Jones
Tonia Bottoms Pershing
Marlon PazMayer Brown
Thank you to Our Sponsors
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