Venue
New York Marriott Marquis
New York Marriott Marquis, 1535 Broadway, New York, NY 10036, USA

What is Qwoted?

Qwoted is a free expert network: we help reporters connect with experts & we help those same experts build relationships with top reporters.

Event Date Mon Nov 5 EST (about 3 years ago)
Location New York Marriott Marquis
1535 Broadway, New York, NY 10036, USA
Region Americas
Details

Join several hundred of your colleagues at the C&L Society Regional Seminar in New York City on November 5th at the Marriott Marquis. This one day seminar will feature presentations by leading securities regulators and industry professionals. CLE credits will be offered.

Topics Include:

Corporate and Investment Bank Current Issues
Current Issues in Wealth Management & Investment Advisory
Washington Update
Sales & Trading
Hot Topics in Compliance
Ethics
Enforcement

Speakers

2018 Speakers

Susan F. Axelrod
Chief Supervisory Officer, Merrill Lynch

Andy Blocker
Head of US Government Affairs, Invesco Ltd.

Susan Boudrot
Managing Director and Global CCO, TD Ameritrade Holding Corporation

Jeffrey T. Brown
Senior Vice President, Legislative and Regulatory Affairs, Charles Schwab & Co., Inc.

Lisa M. Francomano
Executive Director, Chief Compliance Officer, Advisory Business, UBS

Ira D. Hammerman
Executive Vice President & General Counsel, SIFMA

Ben A. Indek
Partner, Morgan, Lewis & Bockius

Joon H. Kim
Partner, Cleary Gottlieb Steen & Hamilton LLP

Mark D. Knoll
Principal, Bressler, Amery & Ross, P.C.

Ilene Marquardt
Head of Regulatory and Other Investigations, UBS

Steven Peikin
Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission

Brett Redfearn
Director, Division of Trading and Markets, U.S. Securities and Exchange Commission

John Savercool
Senior Lobbyist and Managing Director, UBS Americas, Inc.

Susan A. Schroeder
Executive Vice President and Head of Enforcement, FINRA

Michael D. Solomon
Senior Vice President and Regional Director, FINRA

Michael Thompson
Managing Director and Head of U.S. Government Affairs, Goldman, Sachs & Co.

Sponsors & Partners

2018 Sponsors and Partners:

GOLD:
• McGUIREWOODS
• Morgan Lewis

SILVER:
• BRESSLER AMERYROSS
• Consilio
• EY
• Sidley

SPONSORS:
• Katten
• siapartners

SIFMA'S STRATEGIC PARTNERS:
• accenture
• Broadridge
• Deloitte
• EY
• Fidelity INVESTMENT
• hearsay SYSTEMS
• IBM
• pwc
• TATA CONSULTANCY SERVICES