C&L Regional Seminar: San Francisco 2022 | SIFMA | 14 September 2022 | Charles Schwab, 211 Main St, San Francisco, CA 94105, USA

This seminars gather compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas

2022 Speakers

Barbara Armeli
Managing Director and Chief Compliance Officer, Charles Schwab & Co.

Greg Ruppert
Executive Vice President, Member Supervision, FINRA

Michelle Oroschakoff
Chief Legal Officer, LPL Financial and President, SIFMA C&L Society

Dave Sparks
Senior Vice President and General Counsel, Private Client Group, Raymond James Financial

MODERATOR:

Cece Mavico
Chief Compliance Officer, Robinhood Financial

Esther Cho
Shareholder, Keesal, Young & Logan

Barbara Armeli
Managing Director and Chief Compliance Officer, Charles Schwab & Co.

Claire Rajan
Partner, Allen & Overy

John O'Neill
EVP, Head of Strategy and Operations - Compliance, Legal and Risk, LPL Financial

PANELISTS:

Nayra Calderon Najera
Head of Digital Services and Marketing Compliance, Charles Schwab

Dario de Martino
Partner, Allen & Overy

David Jonson
SVP, Head of Litigation and Arbitration, LPL Financial

Kevin Lewis
Senior Attorney, Charles Schwab

Lara Thyagarajan
Partner, Sidley

Jeffrey Brown
Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab

Nicole Petrosino
Senior Vice President and Head of Federal Government Relations, LPL Financial

Jamie Wall
Executive Vice President, Advocacy, SIFMA

Hardy Callcott
Partner, Sidley Austin

Aisling Murphy
Head of First Line Risk Management, Charles Schwab

Stephanie Wilson
Assistant Regional Director, Broker-Dealer Examination Program, SEC

2022 Sponsors and Partners

• Sidley

STRATEGIC PARTNERS:
• Broadridge
• Deloitte
• EY
• FICO
• FIDELITY
• FIS
• IBM
• kyndryl
• pwc
• SIAPARTNERS