C&L Society Denver Regional Seminar 2018 | Securities Industry and Financial Markets Association (SIFMA) | 26 July 2018 | Charles Schwab, 9800 Schwab Way Lone Tree, CO 80124, USA
Venue
Charles Schwab
Charles Schwab, 9800 Schwab Way Lone Tree, CO 80124, USA
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| Event Date | Thu Jul 26 EDT (over 6 years ago) |
| Location |
Charles Schwab
9800 Schwab Way Lone Tree, CO 80124, USA |
| Region | Americas |
Details
Discussion topics will include:
• Regulatory and Litigation Update
• Behavioral Science and Conduct Risk
• SEC Best Interest Standard
• Investment Adviser Considerations for Dual Registrants
Speakers
2018 Speakers:
Barbara Armeli
Investment Advisor Chief Compliance Officer, Charles Schwab & Co., Inc
Bari M. Havlik
Executive Vice President, Member Supervision, FINRA
Ira D. Hammerman
Executive Vice President & General Counsel, SIFMA
Mai Klaassen
VP, Associate General Counsel, Charles Schwab
Kurt L. Gottschall
Associate Regional Director for Enforcement, U.S. Securities and Exchange Commission
Donald Lopezi
Senior Vice President and Regional Director, FINRA
Jeff Coverdell
Senior Vice President and Managing Counsel, Wells Fargo Advisors
David Zisser
Shareholder, Jones & Keller
Greg Ruppert
Bank Secrecy Act Officer, Senior Vice President, Corporate Risk Management, Charles Schwab & Co., Inc.
Henry Engler
Senior Editor, Regulatory Intelligence, Thomson Reuters
Chris Favo
Former FBI Special Agent
Kevin Carroll
Managing Director & Associate General Counsel, SIFMA
Helen Barnhill
Associate General Counsel, TIAA
Robert Innes
Vice President and Associate General Counsel, Charles Schwab & Co., Inc.
Lourdes Gonzalez
Assistant Chief Counsel – Sales Practices, Division of Trading and Markets, U.S. Securities and Exchange Commission
Robert McCarthy
Senior Vice President & Director of Regulatory Policy, Wells Fargo Advisors
Tara Gilchrist
Senior Vice President, LPL Financial LLC
Jodee Brubaker-Rogen
Chief Compliance Officer, Geneos Wealth Management, Inc.
Jennifer Klass
Partner, Morgan, Lewis & Bockius, LLP
David Swafford
Asset Management Compliance, Fidelity Investments
David M. Williams
Chief Compliance Officer, Retail Compliance & Senior Vice President, Wells Fargo Advisors
Sponsors & Partners
2018 Partners:
STRATEGIC PARTNERS:
• Accenture
• Broadridge
• Deloitte
• EY
• Fidelity Investments
• Hearsay Systems
• IBM
• PwC
• TATA Consultancy Services