RMA NY Regulatory Program 2018:

Senior Leadership Perspective on Evolving Markets and Regulatory Expectations

 

Date: Tuesday, May 15th 2018

Location: PricewaterhouseCoopers, 300 Madison Avenue, Auditorium, New York, NY

Time: Registration & Cocktails 5:30 PM – Program Start 6:15 PM 

 

Regulatory expectations continue to increase regarding the responsibilities of the Board, C-Suite and senior management in relation to Enterprise Risk Management, and these in turn impact the regulators' oversight and supervisory priorities. There is a particular focus on establishing, embedding and maintaining a strong risk and compliance culture at financial institutions.

Please join our distinguished panel as we explore the evolving regulatory landscape and its impact on the financial services industry.
 
Topics will include:
  • What are the regulatory priorities for 2018?
  • What are the emerging regulatory risks and how the financial services industry should be addressing these risks?
  • What are the significant and developing regulatory and industry approaches to address cybersecurity and other technology-related risks?
 
Panelists:
 
 
Thomas J. Butler, Associate Regional Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Mr. Butler serves as the Associate Regional Director of the SEC's New York Regional Office with responsibility for the Investment Adviser / Investment Company Examination Program of the Office of Compliance Inspections and Examinations (OCIE). He assumed this role in September 2017 and leads a staff of examiners, attorneys and accountants charged with assisting the Commission in executing its responsibility of oversight in the New York region over more than 2,800 registered investment advisers with in excess of $18 trillion in assets under management and more than 200 investment company complexes. 
 
Prior to joining OCIE, Mr. Butler served as the first Director of the SEC's Office of Credit Ratings (OCR) from June 2012, when OCR was established. In this role he led the oversight of credit rating agencies registered with the Commission as 'nationally recognized statistical rating organizations' (NRSROs). During his tenure, Mr. Butler introduced significant enhancements to the NRSRO oversight regime. These include expanding the outreach of the monitoring program, developing the risk assessment process for NRSRO examinations, introducing a quantitative capability into the oversight function, establishing the supervisory colleges for credit rating agencies and developing rule proposals for the Commission's consideration. Through his leadership, OCR published numerous examination reports, studies and other reports on the activities of NRSROs and the credit rating agency industry.
 
Prior to joining the Commission, Mr. Butler was a Managing Director at Morgan Stanley Smith Barney, the joint venture between Morgan Stanley and Citi. During his tenure at Citi, Mr. Butler had extensive global experience in wealth management and investments, and in corporate and structured finance, and public sector finance. Prior to Citi, Mr. Butler held senior financial advisory and structuring roles at UBS and Babcock & Brown. Mr. Butler began his career as an attorney at two major law firms (Milbank Tweed Hadley & McCloy and Fulbright & Jaworski).
 
Mr. Butler received his Juris Doctorate (J.D.) from Rutgers School of Law at Newark and his Bachelor of Arts (B.A.) in Economics from Rutgers College.
 
   
Jeanmarie Davis, Senior Vice President and Head of LISCC Program Function, Federal Reserve Bank of New York
Jeanmarie Davis is a senior vice president and the leader of the LISCC Program Function within the Supervision Group at the Federal Reserve Bank of New York. Ms. Davis is Co-Chair of the Governance and Controls Program within the LISCC Supervisory Program, which assess the effectiveness of the LISCC firms' boards of directors with regard to safety and soundness issues, the strength of the risk management executed by the firms' core business lines, and the adequacy of the firms' independent risk management and controls across the Federal Reserve System.
 
Ms. Davis began her career at the Federal Reserve Bank of New York in June 1985 as a bank applications analyst. She has several senior leadership positions within the Group. They have included leading departments of risk and payments specialists and running the supervisory programs for portfolios of firms. Ms. Davis also created the Financial Market Infrastructure Function within the Supervision Group. 
  
Ms. Davis is a member of the Federal Reserve's Operating Committee, which has responsibility for the supervision of systemically important financial institutions. 
  
Ms. Davis holds an M.B.A. from Baruch College and a bachelor's degree from Colgate University.
 
Carlo di Florio, Chief Risk Officer & Head of Strategy, Financial Industry Regulatory Authority (FINRA)
Carlo di Florio joined FINRA in June 2013 as Chief Risk Officer and Head of Strategy. In this capacity, he leads the Office of Risk & Strategy, which includes Strategic Planning, Emerging Regulatory Issues, Enterprise Risk Management and Operational Risk. These functions support FINRA's mission of investor protection and market integrity by teaming across the organization to define and align strategy, monitor emerging regulatory issues, promote enterprise risk management and support ongoing program improvement and quality assurance.
 
Prior to joining FINRA, Mr. di Florio served as the Director of the SEC's Office of Compliance Inspections and Examinations. In that role, he oversaw the SEC's nationwide examination programs for, among other entities, investment advisers, broker-dealers, mutual funds, securities markets and clearing agencies. Before joining the SEC in 2010, Mr. di Florio was a partner in the Financial Services Risk & Regulatory Practice of PricewaterhouseCoopers, advising financial services clients across banking, capital markets, asset management and insurance.
 
Mr. di Florio received his Master of Laws with distinction from Georgetown University Law Center, his J.D. from Penn State University and his bachelor's degree from Tulane University. He has been named by the National Association of Corporate Directors as one of the 100 Most Influential Leaders in Corporate Governance, by The National Law Journal as one of the Top 50 Trailblazers & Pioneers in Governance, Risk Management and Compliance, and by Worth Magazine as one of the 100 Most Powerful People in Finance.
 
 
Kris A. McIntire, Deputy Comptroller for Large Bank Supervision, Office of the Comptroller of the Currency (OCC)
Kris A. McIntire is a Deputy Comptroller for Large Bank Supervision at the Office of the Comptroller of the Currency (OCC). In this position, Mr. McIntire is one of five deputy comptrollers overseeing the supervision of the OCC's large bank portfolio. He assumed these duties in June 2015 and reports to the Senior Deputy Comptroller for Large Bank Supervision. Prior to this assignment, Mr. McIntire served as the Examiner-in-Charge (EIC) at HSBC BANK USA, N.A. He previously served as EIC at KeyCorp and at RBS Citizens. He has held a variety of roles of increasing scope and responsibility supervising community, midsize, and large banks as well as participating in the 2014 International Peer Review of OCC Midsize and Large Bank Supervision. Mr. McIntire joined the OCC in 1987 and earned his commission as a National Bank Examiner in 1990. He was recognized by the OCC in 2012 as the recipient of the agency's 2012 Managerial Excellence Award. Mr. McIntire holds a bachelor's degree in accounting from the University of Iowa and is a Certified Public Accountant.
 
Robert A. Sollazzo, Associate Regional Director, U.S. Securities and Exchange Commission (SEC)
Robert A. Sollazzo is an Associate Regional Director in the U.S. Securities and Exchange Commission's New York Regional Office where he has responsibility for overseeing the region's Broker-Dealer Examination Program.  During Mr. Sollazzo' s 36 year tenure with the Commission, he has worked in various capacities in the inspection program, while assisting in the development of a number of significant enforcement cases related to the Commission's financial responsibility and sales practice rules for broker-dealers.
 
Mr. Sollazzo's previous employment consisted of various accounting and auditing related positions, including experience as an auditor in a national accounting firm.  He is a graduate of Brooklyn College and a Certified Public Accountant in New York State.
 
Moderator: 
  
Yvonne I. Pytlik, Senior Vice President, Chief Compliance Officer and Head of US Regulatory Compliance, HSBC Global Asset Management (USA)
Yvonne I. Pytlik is currently Senior Vice President, Chief Compliance Officer and Head of US Regulatory Compliance at HSBC Global Asset Management (USA) Inc. in New York.
 
Ms. Pytlik has a long and distinguished career in compliance as the Chief Compliance Officer, Head of Compliance and Risk and Chair of Compliance Committees at a number of high profile firms, including KPMG, Deutsche Bank and Virtus Investment Partners, responsible for overseeing all compliance matters enterprise-wide for investment advisers, mutual funds and broker dealer businesses. 
 
Ms. Pytlik is a recognized ERM and compliance industry expert, and frequent speaker addressing Governance, Risk and Compliance issues in the asset management industry. She is a senior executive and one of industry's most highly sought after strategists in compliance risk management for financial institutions. Ms. Pytlik serves on the Board of Governors and Executive Committee at RMA NYC.
 
Ms. Pytlik is a founder serving on the Board of Directors at Global Compliance Risk Management Corp., a strategic advisory and compliance risk management   firm.  She was previously Head of Compliance and Corporate CCO at Virtus, and Deputy Head of Global Compliance, Risk Management, and Strategic Planning at Deutsche Bank AG. During her tenure at major financial services firms, Ms. Pytlik made numerous significant contributions to the firm's overall compliance organizations, including the development and implementation of global compliance risk management functions in the Americas, Europe, and Asia-Pacific regions.  Ms. Pytlik held senior positions in risk management practice at KPMG and in internal audit at major financial institutions.   She has an M.B.A. from Suffolk University and a B.S. in Management from University of Massachusetts.
 

**Registration can be done online by clicking here. If you prefer, you may submit your registration via fax (914-332-1541) with the following information: 

 

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RMA New York Chapter

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