Wednesday, Thursday, On Demand Sponsors September 23 September 24 Sessions A gathering for regulators and industry professionals to exchange ideas and empower success September 23–24, 2020 Wednesday, September 23 LIVE 10:00 AM – 11:00 AM – LIVE: Virtual Exhibit Hall During this allotted time, visit sponsors, ask questions, and learn from fellow colleagues about industry topics. 11:00 AM – 11:05 AM – LIVE: Welcome Remarks C&L VIRTUAL FORUM CHAIRPERSON Scott Kursman Citi 11:05 AM – 11:35 AM – LIVE: One-on-One Conversation with Robert Cook Robert Cook MODERATOR FINRA Ira D. Hammerman SIFMA 11:45 AM – 12:45 PM – LIVE: COVID-19: Lessons Learned for Compliance & Legal Professionals • Operational capacity – what does this mean for systems access, especially trading businesses • Meeting regulatory obligations for oversight in this COVID-19 environment. Anticipating unique risks in this new operating structure. • Supervisory and management challenges with remote staff and related information security challenges • Discuss today’s challenges of internal and external communications and recordkeeping • Considerations for Return-to-Work plans Michael Broadbery Andy Cadel Kevin H. Dunn Marlon Paz Emily Westerberg MODERATOR Goldman Sachs Citi National Institute for Mayer Brown Russell Amy J. Greer Occupational Safety SEC Baker & McKenzie LLP and Health 12:55 PM – 2:00 PM – LIVE: Leadership Matters: Meaningful, Measured Impact in Diversity and Inclusion This panel will take a deeper dive into how today’s financial industry leadership work must be a matter of effective planning, specific action, and shared teamwork — in order to impact diversity and inclusion. As a result of the global pandemic and recent events (revealing the dire need to address diversity inequalities), participants will gain insights about • what organizations can employ when identifying/implementing their diversity goals and measurable outcomes • what barriers (and answers) leaders currently face/activate when expected to move their organizations forward to more “meaningful and measured” work — together Christopher Lewis Robert Marchman Grace Speights MODERATOR Edward Jones SEC Morgan, Lewis & Elaine Mandelbaum Bockius LLP Interactive Brokers SIFMA C&L Society President 2:00 PM – 4:00PM – Break - Exhibit Hall Open 4:00 PM – 5:15 PM – LIVE: General Counsel Roundtable Stephen Cutler Eric Grossman Christopher Lewis Adam Meshel Karen Wilson Thissen MODERATOR Simpson Thacher Morgan Stanley Edward Jones Citi Ameriprise Karen Patton Seymour Goldman Sachs Thursday, September 24 LIVE 10:00 AM – 11:00 AM – LIVE: Virtual Exhibit Hall During this allotted time, visit sponsors, ask questions, and learn from fellow colleagues about industry topics. 11:00 AM – 11:05 AM – LIVE: Welcome Remarks C&L VIRTUAL FORUM CHAIRPERSON Scott Kursman Citi 11:05 AM – 12:05 PM – LIVE: A Conversation with Political Commentators James Carville and Mary Matalin James Carville Mary Matalin MODERATOR Jamie Wall SIFMA 12:10 PM – 1:25 PM – LIVE: Enforcement Panel Hear from leaders in the enforcement community on the latest industry developments, including: • the top issues and trends in enforcement • agency priorities • cooperation, investigation length, whistleblowing, and criminal liability for corporations • new areas of enforcement, especially developments in the digital/crypto space Stephanie Avakian Jessica Hopper Jacquelyn Kasulis James McDonald MODERATOR SEC FINRA US Attorneys Office CFTC Eric Grossman Morgan Stanley 1:25 PM – 3:00 PM – Break - Exhibit Hall Open The following On demand content will be loaded on September 23rd at On Demand 11:00 AM EST and will be available until December 31st. Please view at Sessions your leisure and if you are seeking CLE credit, please complete a CLE form for each session. You must submit each affirmation form immediately following the completion of each webinar to [email protected] by December 31st for credit. Civil Litigation Update: Securities Class Actions and other Major Civil Cases MODERATOR Adam Hakki Brad Karp Jay Kasner Sharon Nelles Jonathan Rosenberg Mary Reisert Shearman & Sterling Paul Weiss Skadden, Arps, Sullivan & Cromwell O’Melveny & Myers Citi Slate, Meagher & Flom LLP Litigate or Settle?: Current Considerations in Handling Enforcement Matters Against Firms and Individuals MODERATOR George Canellos Craig Carpenito Matthew Fitzwater Susan Merrill Theodore Wells Jr. David Markowitz Milbank LLP New Jersey Barclays Sidley Austin LLP Paul Weiss Goldman Sachs Department of Justice Legal & Compliance Issues in Investment Banking MODERATOR Todd Baskin Sandra Galvis Jodi Huckabee Michael Kaplan C.B. Richardson Darian Futrell Bank of America Credit Suisse Barclays Davis Polk Citi Goldman Sachs Ethics Ethical Considerations and Current Developments in Diversity & Inclusion CLE Credit MODERATOR Debo Adegbile Peggy Ho Autumn Hunter Macey Russell Gleennia Napper WilmerHale LPL Financial LLC Bank of America Choate, Hall & Deutsche Bank Stewart Establishing and Maintaining a Robust Cross-Border Program MODERATOR Belinda Blaine Lucas Glass Charlotte Stalin John Weitzer Alison Morpugo Morgan Stanley Wells Fargo Simmons & Simmons HSBC UBS Legal and Compliance Considerations for Swap Dealers MODERATOR Matthew Danton Colin Lloyd Michael Otten Josh Sterling Angie Karna Barclays Cleary Gottlieb NFA CFTC Nomura Global Chief Compliance Officer Outlook MODERATOR Ann C. McCague Pamela Root Raul F. Yanes Barbara Stettner Piper Sandler & Co. Deutsche Bank Morgan Stanley Allen & Overy Compliance and Legal Challenges of Social Media and New Communications Technology MODERATOR Iain Duke-Richardet Paul Merolla Amy Sochard Casey Whalley Stephen Bard Hearsay Murphy McGonigle FINRA Edward Jones Wells Fargo Leveraging Technology in Compliance & Legal, and the Challenges of Digital Services MODERATOR Brad Ahrens Edward O’Keefe Steven Polansky Joe Polizzotto Jennifer Grego Charles Schwab Moore & Van Allen FINRA QuisLex Morgan Stanley Hey, You, Get Onto Our Cloud: Legal and Compliance Cloud Storage Issues MODERATOR Larry Bortstein Mike Di Stephan Behnaz Kibria Cassandra Lentchner Melissa MacGregor Bortstein Legal Morgan Stanley Google Pillsbury Winthrop SIFMA Group Private Client Firms: Key Legal & Reg BI Updates MODERATOR Hilary Sunghee Seo William St. Louis Corin Swift Anne Tennant Danielle Tarasen Allen & Overy FINRA Sidley Austin LLP Morgan Stanley Raymond James Arbitration 2020 MODERATOR Richard W. Berry Kenneth Crowley Linda Drucker Cheryl L. Haas James Crowe FINRA UBS Bank of the West McGuireWoods Edward Jones An AI Enabled Holistic Solution to LIBOR Repapering *sponsored by QuisLex Chase D’Agostino Christopher Schell Marcy Cohen Jason Pugh QuisLex Davis Polk & Wardwell ING Americas D2 Legal Technology DOL Take 3: Proposed Investment Advice Exemption and Five-Part Test Interpretation *sponsored by Morgan Lewis MODERATOR Lisa Bleier Tonia Bottoms Jason Kelly Lee Thoresen Lindsay Jackson SIFMA Pershing Edward Jones RBC Morgan Lewis FCPA Cross-Border + Financial Institutions Enforcement Trends *sponsored by Allen & Overy Billy Jacobson Jonathan Lopez Claire Rajan Allen & Overy Allen & Overy Allen & Overy Forecasting FINRA Arbitration Trends for 2021 *sponsored by Bressler, Amery & Ross Logan Fisher Kathryn D. Perreault David Buffa Joelle Simms Bressler, Amery & Bressler, Amery & Bressler, Amery & Bressler, Amery & Ross Ross Ross Ross Fireside Chat with Brian Brooks, Acting Comptroller of the Currency *sponsored by Davis Polk Annette Nazareth Brian Brooks Davis Polk OCC Strengthen Your Advisor Workflow for Regulation Best Interest *sponsored by Morningstar *To Be Announced Real-life Revolution: How Compliance Functions are Leveraging Innovation to Become More Aligned, Efficient, and Tech-Enabled *sponsored by Protiviti Shelley Metz-Galloway Lucy Pearman Protiviti Protiviti Developments and Trends in Securities Litigation: Mid-Year Update 2020 *sponsored by Skadden James R. Carroll Kevin LaCroix Jay B. Kasner Scott D. Musoff Alisha Q. Nanda Noelle M. Reed Skadden, Arps, Slate, RT ProExec. Skadden, Arps, Slate, Skadden, Arps, Slate, Skadden, Arps, Slate, Skadden, Arps, Slate, Meagher & Flom LLP Meagher & Flom LLP Meagher & Flom LLP Meagher & Flom LLP Meagher & Flom LLP Stay at Home Workforce: Best Practices for the Compliant Adoption of Collaboration Platforms *sponsored by Smarsh Robert Cruz Smarsh Broker-Dealer Issues & Considerations Relating to LIBOR Cessation *sponsored by Mayer Brown *More To Be Announced Marlon Paz Mayer Brown *More Sessions to be Announced Thank you to Our Sponsors Platinum Gold Silver Bronze.