Conferences and Speeches

SIFMA’s C&L Annual Seminar 2022

Sunday, March 20, 2022 {ml-event-to} Wednesday, March 23, 2022

Morgan Lewis is proud to sponsor SIFMA’s C&L Annual Seminar 2022. For more than half a century, SIFMA’s Compliance & Legal Annual Seminar has been the preeminent meeting place for compliance and legal professionals in the financial services industry.

Regulatory Exams and Engagement—Making This Marriage Work

Monday, March 21 | 10:35–11:50 am

G. Jeffery Boujoukos, Panelist

  • Best practices for successfully managing a regulatory examination
  • Anticipated regulatory and supervisory impact of the Federal Reserve, vice-chair for supervision
  • Examination priorities tied to evolving regulatory requirements (i.e., The Comprehensive Capital Analysis and Review (CCAR) stress test, remote work, business continuity, digital currency, payment for order flow)
  • Emerging regulatory and supervisory landscapes relating to climate and environmental, social, and governmental (ESG) risks
  • Cybersecurity and Data Privacy—can reasonably designed supervisory systems survive examination scrutiny?

Digital Engagement Platforms—Compliance and Legal Challenges

Tuesday, March 22 | 10:30–11:45 am

Christine M. Lombardo, Panelist

  • Digital engagement practices (DEP) definition and use by broker-dealers and investment advisers
  • Examination of nine DEP categories, including gamification
  • Are new/revised regulations required? Need for enhanced guidance?

Research Issues

Tuesday, March 22 | 12:15–1:30 pm

Amy Natterson Kroll, Panelist

  • Evolving landscape—post MIFID II, capital markets and content delivery
  • Data usage—research as a data provider and as a data consumer
  • Conduct and conflict risk challenges in research

Negotiating Skills—Learn from the Experts

Tuesday, March 22 | 12:15–1:30 pm

Robin Nunn, Panelist

  • The benefits and drawbacks of negotiating in a virtual environment vs. in person
  • Developing rapport, persuasion and effective communication
  • Virtual and in person—best practices, strategies and tactics from opening through closure
  • When to bring in the business?
  • Ethical issues in negotiation—good faith, conflicts, confidentiality
  • The impact of diversity (or lack thereof) on negotiations

Regulatory Perspectives Panel

Wednesday, March 23 | 9:05–10:05 am

Ben A. Indek, Moderator

  • Broker-dealer and investment adviser examination priorities and regulatory risks
  • Enforcement trends, including sweeps and self-reporting initiatives
  • Cooperation, admissions and corporate penalties
  • Key sales practice rulemaking initiatives

 

CLE credit: See event website for more info.