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
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