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2016 Regulatory Compliance Exchange

 The Forum for Sharing Best Practices

3/30/2016 - 4/1/2016
Hyatt Regency Baltimore, Baltimore, Maryland USA

Overview

Who Attends

  • Chief Compliance Officers – Compliance and Internal Audit
  • Legal Counsel, General Counsel and Attorneys
  • Compliance and Market Conduct VPs, Directors, and Managers
  • Compliance, Market Conduct and Legal Staff
  • Audit and Risk Management Managers and Staff
  • AIRC Designees (who receive $100 off the member rate when they register)

Highlights

The Regulatory Compliance Exchange is a unique forum planned by Compliance professionals for Compliance professionals. We meet each year to

  • Discuss top regulatory issues and appropriate strategic responses
  • Learn and share effective best practices
  • Benchmark your practices against peers’

The conference features presentations by topical experts, regulators, and industry practitioners from companies and divisions of all sizes.

Registration

Registration Fees:


By February 29, 2016:
LIMRA and LOMA member: $1,195
AIRC Designee: $1,095
Nonmember: $1,695
Guest/Spouse fee: $100

After February 29, 2016:
LIMRA and LOMA member: $1,395
AIRC Designee: $1,295
Nonmember: $1,895
Guest/Spouse fee: $100

Refund Policy: All cancellations and refund requests must be in writing. Full refunds minus a $100 administrative fee will be granted only on cancellations received 10 business days prior to March 30, 2016 (by 03.16.2016). No refunds will be granted after that time. In the unlikely event the meeting is cancelled, LIMRA/LOMA will refund the total registration fee. However, LIMRA/LOMA will not be responsible for any travel, hotel accommodations or other costs incurred.

Hotel/Venue

Hyatt Regency Baltimore
300 Light Street
Baltimore, MD
Ph: 410-528-1234

Book your group rate

Reservations Phone: 800-233-1234 (mention LIMRA/LOMA Regulatory Compliance Exchange)

Make your reservations by February 24, 2016 in order to receive the group rate of $199.00 single/double (plus applicable sales taxes). Requests after February 24, 2016 will be accepted on the basis of space availability. The group guest room rate will be offered three days prior and three days after the meeting dates subject to availability.

Please note that hotel rates will go up after the cut-off date or when the meeting room block sells out, whichever comes first. Make your reservations early to be able to take advantage of our discounted rates.

Agenda

Speakers

Scott Eckel
Vice President of Legislative and Regulatory Affairs, Charles Schwab
  • Friday, April 1, 2016

    9:00 am - 10:00 am: GENERAL SESSION 5

Scott Eckel

Vice President of Legislative and Regulatory Affairs, Charles Schwab

Scott Eckel joined Charles Schwab as Vice President of Legislative & Regulatory Affairs in 2012. Prior to joining Schwab, he was a senior policy advisor to U.S. Representative Scott Garrett. In that role, he handled a portfolio of issues related to Congressman Garrett’s capacity as Chair of the Capital Markets Subcommittee, including market structure, systemic risk, and other financial services regulatory reform issues during the Dodd-Frank legislative and implementation processes. Scott also previously worked as a senior legislative assistant to U.S. Senator John Sununu, and was the Director of Federal Affairs for The New England Council.
Larry Hartshorn
Corporate Vice President and Director, International Research, LIMRA and LOMA

Larry Hartshorn

Corporate Vice President and Director, International Research, LIMRA and LOMA

Larry Hartshorn is responsible for driving LIMRA and LOMA member value and growth for global markets. This includes the development and execution of LIMRA’s international research strategy to provide insights on trends in products and distribution, consumer behavior and sentiment, and regulation and technology for markets throughout the world. He also leads the global consulting program across the enterprise, ensuring our members can leverage our deep knowledge of best practices in the global insurance industry, gain practical solutions, and receive hands-on tactical support to solve problems and implement a variety of projects.

Prior to joining LIMRA in 2015, Larry was Aetna’s executive director for Greater China in Shanghai. His responsibilities included strategic planning, research, management operation and consulting. Larry also previously served as research program manager for The Ohio State University, managing a multi-million dollar cluster of private, state, and federal grants targeting primary, secondary and higher education curriculum reform.

Christopher Hetner
Cybersecurity Lead, Technology Controls Program
Office of Compliance Inspections and Examinations , U.S. Securities and Exchange Commission
  • Friday, April 1, 2016

    10:30 am - 11:30 am: GENERAL SESSION 6

Christopher Hetner

Cybersecurity Lead, Technology Controls Program
Office of Compliance Inspections and Examinations , U.S. Securities and Exchange Commission

Chris has over 20 years of experience in cybersecurity, risk management, and regulatory compliance. Prior to joining the SEC in 2015, he led the Ernst and Young (EY) Wealth and Asset Management Sector Cybersecurity practice. His team advised and delivered cybersecurity and risk management capabilities across major clients in the investment management industry. In addition to leading the practice, Chris served as a senior advisor to a wide range of c-level executives, including Boards of Directors, Audit Committees, Chief Risk Officers, Chief Operating Officers, Chief Information Officers, and Chief Information Security Officers. Prior to joining EY, Chris was the Chief Information Security Officer (CISO) at GE Capital, where he was responsible for the global Cybersecurity program. He led an organization that included security management, application security, third party security risk management, incident response, threat and vulnerability management, penetration testing, cyber intelligence, operations and security architecture. Prior to GE Capital, Chris led global information security risk and compliance programs for Citigroup that successfully reduced information security risk while enabling the business. 
J. Mark Iwry
Senior Advisor to the Secretary of the Treasury
Deputy Assistant Secretary for Retirement and Health Policy, U.S. Department of the Treasury
  • Thursday, March 31, 2016

    9:00 am - 10:00 am: GENERAL SESSION 3

J. Mark Iwry

Senior Advisor to the Secretary of the Treasury
Deputy Assistant Secretary for Retirement and Health Policy, U.S. Department of the Treasury

In his current roles, Mark’s portfolio includes retirement and savings policy, implementation of the Affordable Care Act, other employee benefits and compensation issues, and related policy, legislative, rulemaking, and regulatory activities. During his career, Mark has provided policy advice to numerous senators, representatives, and staff on both sides of the aisle, and to five Presidential campaigns. He has been centrally involved in developing or orchestrating many expansions, simplifications, and other improvements of the nation’s pension and benefits systems, law, and regulatory framework. Mark recently received the Retirement Income Industry Association Award for innovation in retirement income products and the Government Partner Award of the American Payroll Association. He has also been recognized for his considerable expertise and influence by numerous publications. Mark was previously a nonresident senior fellow at the Brookings Institution, a research professor at Georgetown University, a partner in the law firm of Covington & Burling, of counsel to the law firm of Sullivan & Cromwell, a principal of the Retirement Security Project, and the Treasury Department's benefits tax counsel. 
Robert A. Kerzner, CLU®, ChFC®
President and Chief Executive Officer, LIMRA, LOMA, and LL Global, Inc.
  • Thursday, March 31, 2016

    8:10 am - 9:00 am: GENERAL SESSION 2

Robert A. Kerzner, CLU®, ChFC®

President and Chief Executive Officer, LIMRA, LOMA, and LL Global, Inc.

Bob Kerzner leads the world’s largest association of life insurance and financial services companies. The combined organizations have over 1,200 members in more than 64 countries, including most of the world’s largest life insurance companies. Before joining LIMRA in 2004, Kerzner was executive vice president and head of the individual life division of Hartford Life, Inc. After spearheading the acquisition of Woodbury Financial Services, a national broker-dealer organization with more than 1,800 independent representatives, Kerzner also served as president of Woodbury. Kerzner’s career with The Hartford spanned 30 years from 1974 to 2004. 
Lawrence Kosciulek
Director, Regulatory Policy Department, FINRA
  • Thursday, March 31, 2016

    9:00 am - 10:00 am: GENERAL SESSION 3

Lawrence Kosciulek

Director, Regulatory Policy Department, FINRA

Lawrence Kosciulek is responsible for administering and interpreting the rules relating to investment companies and variable contracts, and working with FINRA Board Advisory Committees in developing policies and procedures regarding investment companies regulations. He served in the same capacities at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA.

Lawrence is Liaison to the Independent Dealer/Insurance Affiliate Committee, a FINRA Board Advisory Committee. He has also assisted in the creation of various publications, including Notice to Members NtM 95-80 (Mutual Fund Sales Practices), NtM 99-35 (Variable Annuity Guidelines), NtM 99-55 (Q&A – Non-Cash Compensation), NtM 00-44 (Variable Life Insurance Guidelines), Regulatory Notices 09-32 and 10-05 (Deferred Variable Annuities) and Regulatory Notice 09-42 (Variable Life Settlements). He began his career in 1976 in the Chicago District Office of NASD before transferring to NASD’s home office in Washington, DC, in 1994.
Elizabeth McCormick
Motivational Leadership Success Speaker
  • Wednesday, March 30, 2016

    1:15 pm - 2:15 pm: GENERAL SESSION 1: KEYNOTE SPEAKER

Elizabeth McCormick

Motivational Leadership Success Speaker

Prepare to be inspired! As a US Army Black Hawk pilot, Elizabeth McCormick flew command and control, air assault, peacekeeping, and top-secret intelligence missions — and transported high-level government VIPs. She has translated these extreme experiences into relatable lessons you can put into immediate action. Her personal development book, The P.I.L.O.T. Method; the 5 Elemental Truths to Leading Yourself in Life, is a must read. Elizabeth has also received the Meritorious Service Medal for her excellence in service, and was awarded the US Congressional Veteran Commendation for her commitment to serving her country and community as a disabled veteran.
Larry Niland, CLU
Senior Regulatory Advisor, LIMRA

Larry Niland, CLU

Senior Regulatory Advisor, LIMRA

Larry works with LIMRA member companies to reduce their regulatory risk, including serving as an expert witness on product suitability, supervision, and supervisory controls. He is an insurance, securities, and advisory professional with nearly 40 years of experience. Larry acted in a principal capacity in a variety of insurance company business units including life policy administration, variable annuity new issue, field office inspections, and broker-dealer compliance and investment advisor compliance. He spent most of his career at John Hancock, where he held over 15 separate positions during his 25 years, progressing to Chief Compliance Officer of its U.S. retail FINRA broker-dealer and SEC Registered Investment Advisor, Signator Investors, Inc.
Al Redmer, Jr.
Maryland Insurance Commissioner, Maryland Insurance Administration
  • Thursday, March 31, 2016

    9:00 am - 10:00 am: GENERAL SESSION 3

Al Redmer, Jr.

Maryland Insurance Commissioner, Maryland Insurance Administration

Alfred Redmer, Jr. was reappointed as Maryland Insurance Commissioner in January 2015. He previously served as Commissioner from June 2003 until October 2005. Al also represents the state’s interests as part of the National Association of Insurance Commissioners. Before his reappointment, Al managed Redmer Insurance Group, LLC, and owned Redmer Financial Group. His business experience includes time as partner and president of Landmark Insurance & Financial Group and as chief executive officer of Coventry Health Care of Delaware Inc. Al also represented Baltimore County in the Maryland General Assembly for 13 years. During that time he served two years as the House Minority Leader. Throughout his career, he has stayed involved in numerous community and nonprofit organizations.
Tom Samoluk
Vice President & Counsel, External Affairs & Investigative Services, John Hancock Financial Services

Tom Samoluk

Vice President & Counsel, External Affairs & Investigative Services, John Hancock Financial Services

Tom Samoluk supervises John Hancock’s federal and state government relations. In this role he is the primary liaison with members of Congress and Congressional staff on federal legislation, manages John Hancock's Washington-based consultants, and coordinates relations with the company's industry trade associations. Tom also supervises John Hancock's Communications team, including media relations and employee communications; Community Relations; and Investigative Services. Tom is a former Massachusetts Assistant Attorney General and a former Assistant District Attorney in Middlesex County, Massachusetts. In the mid 1990s he served as the Deputy Director of the President John F. Kennedy Assassination Records Review Board, an independent federal agency that was responsible for the review and public release of classified records on the assassination, which are now housed at the National Archives. 

Sponsors / Exhibitors

Connect With Key Prospects 

This conference is your opportunity to meet executives and practitioners responsible for their firm's regulatory compliance program, including Chief Compliance Officers, compliance executives, legal counsel, and audit executives. 

Exhibit Opportunities

Register Now As An Exhibitor


Exhibitor fee: $4,800 (add $1,000 after January 24, 2016)
The exhibit area will host the conference reception on Wednesday evening, breakfast each morning, lunch on Thursday, and extended breaks on Thursday and Friday. Space is limited to tabletop displays or similar-sized displays. Each exhibiting organization will receive:

  • Two full-conference registrations (total value $3,390). Additional staff members can register at the member rate of $1,195 per person before January 24, 2016. After January 24, 2016, an additional $200 will be added to the registration fee.
  • One-time use of attendee mail/email list. We will send you a registrant list 3 weeks prior to the conference and the attendee list after the conference.
  • Listing in the onsite conference program.
  • Hyperlinked logo and description on the LIMRA and LOMA conference web pages.
  • Listing on service providers flyer included in attendee packets.
  • Recognition on general session walk-in slides.
  • 6-foot skirted table with electrical outlet. 

Sponsorship Opportunities

    Platinum Sponsorship 

    • General Session Speaker 
    • Reception Sponsor 
    • Luncheon Sponsor 
    • Hot Breakfast Buffet 

    Platinum sponsorship includes:

    1. Invitation for 2 company representatives to attend the private Chief Compliance Officer Breakfast and Lunch.
    2. Registration for a total of 4 company representatives. Additional personnel can be registered at the rate of $1,195 per person. The individuals will be officially registered and listed as delegates and invited to attend all conference events.
    3. One exhibit booth space in a premium location with one electrical outlet. The exhibit area will host the conference reception on Wednesday evening, breakfast each morning, lunch on Thursday, and extended breaks on Thursday and Friday.
    4. Recognitions during the conference, including appearing in the conference program (sponsorship must be paid no later than February 24, 2016 to appear in the program).
    5. Signage recognizing sponsorship at sponsored event. Collateral distribution at sponsored event.
    6. Inclusion of a one-page flyer or small promotional item in all attendee packets.
    7. One-time use of attendee email/mail. We will send you a registrant list 3 weeks prior to the conference and the attendee list after the conference.
    8. Your hyperlinked logo and description on the LIMRA and LOMA event web pages.
    9. General Session Speaker sponsorship includes the opportunity to introduce the speaker.

    Gold Sponsorship

    • Conference Bag Sponsorship
    • Mobile Program Sponsorship
    • WiFi Sponsorship
    • Continental Breakfast

    Gold sponsorship includes:

    1. Invitation for 1 company representative to attend the private Chief Compliance Officers Breakfast and Lunch. 
    2. Registration for a total of 3 company representatives. Additional personnel can be registered at the rate of $1,195 per person. The individuals will be officially registered and listed as delegates and invited to attend all conference events. 
    3. One exhibit booth space in a premium location with one electrical outlet. The exhibit area will host the conference reception on Wednesday evening, breakfast each morning, lunch on Thursday, and extended breaks on Thursday and Friday. 
    4. Recognitions during the conference, including appearing in the conference program (sponsorship must be paid no later than February 24, 2016 to appear in the program).
    5. Signage recognizing sponsorship at sponsored event. Collateral distribution at sponsored event.
    6. Inclusion of a one-page flyer or small promotional item in all attendee packets.
    7. One-time use of attendee email/mail list. We will send you a registrant list 3 weeks prior to the conference and the attendee list after the conference.
    8. Your hyperlinked logo and description on the LIMRA and LOMA event web pages. 
    9. Conference Bag Sponsorship: Company name/logo on bag.

    To create a sponsorship or exhibitor package to optimize your participation, please contact Jim Haggerty at 770-984-6448 or jhaggerty@loma.org

    Sponsor

    Strategic Partners

    Contact us to learn more:

    Joan O'Neil

    Senior Conference Coordinator

    LIMRA

    (860) 285-7741

    joneil@limra.com