Event

2016 SIFMA Compliance and Legal Society Regional Seminar — Charlotte

September 19, 2016

Join Litigation partners Amy Greer and Lizzie Baird at SIFMA’s C&L Seminar in Charlotte, NC on September 19, 2016. Topics of the seminar will include:

  • Election Consequences for Financial Services
  • Hot Topics In Securities Enforcement
  • CCO Roundtable
  • Cybersecurity
  • Fixed Income Sales and Trading
  • Hot Topics in Compliance Examinations
  • DOL Fiduciary Rule: Practical Implications 
  • Ethics for Lawyers Serving Financial Services Companies
  • Hot Topics in AML And OFAC Compliance

Panel: CCO Roundtable
Monday, September 19, 2016 | 11:00 am – 12:15 pm

Moderator:
Gloria Greco, Global Wealth & Investment Management Compliance Executive – Bank of America Merrill Lynch

Panelists:
Amy Greer, Partner – Morgan Lewis
Suzy Aulette, Executive VP, CCO – LPL Financial
Michael Serbanos, Corporate CCO – Raymond James
Samuel Turvey, Managing Director, Senior Compliance Officer – TIAA


Panel: Fixed Income Sales and Trading
Monday, September 19, 2016 | 11:00 am – 12:15 pm

Moderator:
Elizabeth (Lizzie) Baird, Partner – Morgan Lewis

Panelists:
Cindy Keenum Brown, Director, Regions Capital Markets – Regions BankPatrick Gerahty, VP, Market Regulation – FINRA
Eric L. Kriftcher, Associate GC & Managing Director, Fixed Income – Bank of America