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2017 Regulatory Compliance Exchange

The Forward-Thinking Forum

5/10/2017 - 5/12/2017
Boston Park Plaza, Boston, MA 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

Created by Compliance professionals for Compliance professionals, attendees enjoy this opportunity to discuss crucial regulatory issues and learn effective compliance practices from peers and topical experts. This year’s conference will focus on these three topics crucial to our continued success:

  • Innovating for a changing world
  • Enhancing oversight effectiveness
  • Prepare for regulatory uncertainty

Registration

Early Bird Registration Fee:
LIMRA and LOMA member: $1,225
AIRC Designee: $1,125
Nonmember: $1,725
Guest/Spouse fee: $100

After April 17, 2017:
LIMRA and LOMA member: $1,425
AIRC Designee: $1,325
Nonmember: $1,925
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 May 10, 2017 (by 04.26.2017). 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

Boston Park Plaza
50 Park Plaza at Arlington Street
Boston, MA
Ph: 617-426-2000

Book your group rate

Reservations Phone: 617-426-2000 (mention LL Global 2017 Regulatory Compliance Exchange)

Make your reservations by April 17, 2017 in order to receive the group rate of $269.00 single/double (plus applicable sales taxes). Requests after April 17, 2017 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.

Only these 2 dates are sold out - Friday, May 12th and Saturday, May 13th 

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

Jason Berkowitz
Vice President and Counsel, Regulatory Affairs, Insured Retirement Institute

Jason Berkowitz

Vice President and Counsel, Regulatory Affairs, Insured Retirement Institute

As Vice President & Counsel for Regulatory Affairs at the Insured Retirement Institute, Jason Berkowitz provides leadership and support for IRI member company priorities in the state and federal regulatory and legislative arenas, and works with member company representatives to develop effective government affairs and compliance programs that meet their business needs. Berkowitz has been at the forefront of IRI’s engagement with respect to the DOL fiduciary rule, leading the development of IRI’s comments to the DOL during the rulemaking process, and spearheading IRI’s efforts to assist member companies with implementation of the rule. Berkowitz joined IRI in October 2012. Prior to joining IRI, Berkowitz was Counsel and Director of Regulatory Affairs at Hartford Financial Services Group, Inc, from 2006 to 2012. In that capacity, he guided the direction of critical legislative and regulatory initiatives in support of the company’s retirement plans and annuities business lines. He began his career as a law firm associate, first with Paul, Hastings, Janofsky & Walker LLP from 2000 to 2003, and then with Edwards & Angell, LLP from 2003 to 2005.
Shefi Ben-Hutta
Co-founder, Coverager

Shefi Ben-Hutta

Co-founder, Coverager

Shefi Ben-Hutta is the co-founder of Coverager, “the homepage of insurance,” a website featuring insurance news, trends and companies in a modern way. Coverager is read by top insurance executives from across the insurance ecosystem and is regarded as the most engaging daily insurance newsletter. Previously, she managed NYC-based Bolt’s commercial lines comparative rater, where she consulted with top insurance carriers such as The Hartford, Travelers, and Liberty Mutual on how to integrate their commercial lines product into a single consumer-facing workflow solution. In her most recent role with CNA, she was part of their small-business automation team working on real-time quoting solutions for digitally focused brokers such as Dovetail and BizInsure. Ben-Hutta holds a B.Sc. in Applied Mathematics from Bar-Ilan University and an M.B.A. from NYU Stern School of Business with a specialization in strategy and marketing.
Tom Crawford
Senior Managing Director, Strategic Communications, FTI Consulting

Tom Crawford

Senior Managing Director, Strategic Communications, FTI Consulting

As a senior member of the Public Affairs practice, Tom Crawford advises boards of directors, executive teams, and senior decision-makers on public-policy issues that pose opportunities and challenges to their organizations' enterprise values. He has worked on every budget reconciliation and tax-measure package considered by Congress in the past two decades.

Prior to FTI Consulting, Crawford was a founding partner of government-affairs and lobbying firm, C2 Group. There he oversaw the firm’s growth and development into a “Top 20” independent lobbying firm in Washington, D.C. As a respected public-policy expert, Crawford is also a member of The Tax Council, and chairman of the board of directors at Harvard University’s Center on Media and Child Health.
Lawrence Kosciulek
Director, Regulatory Policy Department, FINRA
  • Thursday, May 11, 2017

    9:45 am - 10:45 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.
Brian Loutrel
Vice President, Chief Privacy Officer and Chief Ethics Officer, New York Life Insurance Company
Anti-Money Laundering Compliance Officer, New York Life Insurance Company, New York Life Insurance and Annuity Corporation, and NYLIFE Securities LLC
  • Friday, May 12, 2017

    9:30 am - 10:30 am: GENERAL SESSION 5

Brian Loutrel

Vice President, Chief Privacy Officer and Chief Ethics Officer, New York Life Insurance Company
Anti-Money Laundering Compliance Officer, New York Life Insurance Company, New York Life Insurance and Annuity Corporation, and NYLIFE Securities LLC

Brian Loutrel is a Vice President at New York Life Insurance Company in charge of anti-money laundering compliance, privacy/information security compliance as well as business conduct/ethics compliance programs. Brian is the Anti-Money Laundering Compliance Officer for New York Life Insurance Company, New York Life Insurance and Annuity Corporation, and NYLIFE Securities LLC. In addition, Brian is New York Life’s Chief Privacy Officer and Chief Ethics Officer.

Brian joined New York Life in June 1982 after graduating from Barry University in Miami, Florida. During his tenure with New York Life, Brian spent fifteen years with the Corporate Audit Department conducting operational and information systems audits and fraud investigations, and the last sixteen years with the Corporate Compliance Department, where he has managed several divisions, including branch office compliance examinations, agent licensing and FINRA registration, complaint handling, sales material review and the handling of regulatory inquiries and examinations.
David Macchia
Founder and CEO, Wealth2k
  • Friday, May 12, 2017

    10:45 am - 11:45 am: GENERAL SESSION 6

David Macchia

Founder and CEO, Wealth2k

David Macchia is Founder & CEO of Wealth2k. A nationally-recognized expert in income distribution planning, David is the creative force behind some of the industry’s most successful retirement income solutions including The Income for Life Model®. A long-time expert in financial services marketing, Research Magazine hailed David a “marketing guru” for his innovations in technology-driven marketing communications. David is a founding member of the non-profit Retirement Income Industry Association. He served on that organization’s Board of Directors from 2006 thru 2013. He is currently LIMRA’s Senior Consultant for Retirement Income.
Anthony Masella
Corporate Vice President, New York Life
  • Friday, May 12, 2017

    9:30 am - 10:30 am: GENERAL SESSION 5

Anthony Masella

Corporate Vice President, New York Life

Anthony Masella is a Corporate Vice President at New York Life Insurance Company in charge of anti-money laundering compliance and privacy/information security compliance programs. He reports directly to the Anti-Money Laundering Compliance Officer for New York Life Insurance Company, New York Life Insurance and Annuity Corporation, and NYLIFE Securities LLC. Anthony is New York Life’s co-representative on the Anti-Money Laundering Committee and the Insurer Corporate Confidentiality Task Force of the American Council of Life Insurers (ACLI). He joined New York Life in 1996 after graduating from Iona College, New Rochelle, NY. During his tenure with New York Life, Anthony spent the majority of his career in the Corporate Compliance Department. Additionally, he was the internal compliance officer for the largest branch office in the Company’s agency field force.  He has been a manager in the Anti-Money Laundering Unit since 2007. 
Tod J. Mitchinson
Vice President, Chief Information Security Officer, New York Life
  • Friday, May 12, 2017

    9:30 am - 10:30 am: GENERAL SESSION 5

Tod J. Mitchinson

Vice President, Chief Information Security Officer, New York Life

Tod Mitchinson joined New York Life in February 2016 as a Vice President in the Enterprise Technology Department to serve as the Chief Information Security Officer (CISO). In this role, he focuses on the 2nd line IT Security and Risk functions aimed at ensuring the security of company information. Prior to New York Life, Mitchinson served as a Vice President and Head of IT Security, Risk, and Compliance for Corporate IT at AIG, as well as interim CISO. There he was responsible for developing the corporate IT Risk Management program in support of all areas of Corporate IT.  From 2013 to 2014, he served as Vice President, IT Security, Risk and Compliance Lead - Global Corporate HR & IT, where he built the Security, Risk and Compliance capabilities for those organizations. From 2010 to 2013, Mr. Mitchinson served as Global Chief Information Security Officer for ICAP plc.  In this role, he was tasked with building a global security program and strategy, and developed a global Compliance Framework that included risk assessment, exception management, and risk reporting. Mitchinson has held multiple, progressively responsible roles with DLJ/Credit Suisse First Boston, Computer Sciences Corporation, Bankers Trust, and Teleport Communications Group and has a degree in Computer Science from the State University of New York at Oswego.
Ted Nickel
Commissioner, Office of the Commissioner of Insurance, State of Wisconsin

Ted Nickel

Commissioner, Office of the Commissioner of Insurance, State of Wisconsin

Ted Nickel has served as Commissioner of Insurance for the State of Wisconsin since 2011. In addition, Commissioner Nickel acts as the final adjudicator of all administrative actions; vice co-chairs the Governor’s Financial Literacy Council; supervises the Injured Patients and Families Compensation Fund, Local Government Property Insurance Fund, and State Life Insurance Fund, and serves on the Wisconsin Retirement Board. In his capacity as President of the National Association of Insurance Commissioners (NAIC), he serves on the Executive (EX) Committee, Cybersecurity (EX) Task Force, Government Relations (EX) Leadership Council, International Insurance Relations (EX) Leadership Group, and the Internal Administration (EX1) Subcommittee. He is a member of the NAIC American Indian and Alaska Native Liaison Committee and serves on several other NAIC task forces and committees. In addition, he chairs the Mortgage Guaranty Insurance (E) Working Group. Commissioner Nickel is also a member of the International Association of Insurance Supervisors (IAIS). He is a member of the Executive Committee, Audit and Risk Committee and Chairs the Site Selection Committee. Prior to his 2014 appointment to the Federal Advisory Committee on Insurance, Commissioner Nickel worked for almost 18 years as director of Governmental and Regulatory Affairs for Church Mutual Insurance Company in Merrill, Wisconsin. He has served on the board of directors of the Wisconsin Insurance Alliance, including having served as chair in addition to many others.

Jim Pastore
Partner, Debevoise & Plimpton, LLP

Jim Pastore

Partner, Debevoise & Plimpton, LLP

Jim Pastore is a litigation partner and a member of the firm’s Cybersecurity & Data Privacy practice and Intellectual Property Litigation Group. He is recognized by The Legal 500 US (2016) for his cybersecurity work. Cybersecurity Docket (2016) named him one of the “Incident Response 30,” a collection of 30 of the “best and brightest” incident response attorneys in the country. Prior to rejoining Debevoise in 2014, Jim served for five years as an Assistant United States Attorney in the Southern District of New York. He successfully litigated eight jury trials to verdict and was the lead prosecutor in United States v. Monsegur, a/k/a “Sabu,” and Operation Cardshop, both of which were named to the FBI’s top 10 cases of 2012. Additionally, he was the lead prosecutor on Operation Dirty R.A.T., which targeted the creators and users of Blackshades malware, and resulted in the largest ever worldwide law enforcement action against cybercriminals. Jim earned his J.D., with distinction, from Stanford Law School in 2004. Jim received his B.A., summa cum laude and Phi Beta Kappa, from the University of Notre Dame in 2001.
Mark Smith
Partner, Eversheds Sutherland
  • Thursday, May 11, 2017

    8:00 am - 9:15 am: GENERAL SESSION 2

Mark Smith

Partner, Eversheds Sutherland

Mark Smith, a partner at Eversheds Sutherland, is a nationally leading ERISA lawyer.  Since 1981, banks, broker-dealers, insurance companies, investment advisers, mutual funds, retirement platform providers and plan sponsors have engaged Mark for a broad range of consulting, transactional, regulatory and litigation matters. Clients say he has “extensive experience" and provides solutions that are "concise, easy-to-understand" and "invaluable; he is very adept at assisting clients with navigating the regulatory waters."  He has been heavily involved in advocacy related to the DOL fiduciary proposal, and is working with a number of retirement product and service providers on evaluating the impact of and the strategic and compliance  response to the final rule.  Mark is a fellow of the American College of Employee Benefits Counsel, has been recognized in Best Lawyers in America and Legal 500 USA, and, from 1999 to 2007, served as partner-in-charge of Sutherland's Washington office and firmwide Executive Partner.
Jim Szostek
Vice President, American Council of Life Insurers

Jim Szostek

Vice President, American Council of Life Insurers

Jim Szostek is the Vice President of American Council of Life Insurers (ACLI) Taxes & Retirement Security department, having joined ACLI in January 2008. He helps guide ACLI policy on regulation and legislation affecting the retirement security of Americans and the business of its members. He has more than 28 years of experience consulting on tax and labor laws and rules applicable to employer sponsored retirement plans. He has testified before the Department of Labor as well as the IRS and Treasury at various hearings on rulemaking initiatives affecting retirement plans, including the DOL’s hearing on the fiduciary proposal and has participated in and led panel discussions on retirement policy issues. Prior to joining ACLI, Szostek held positions supporting the retirement business of CIGNA and The Hartford. He is a graduate of Central Connecticut State University where he earned degrees in economics and business.

Sponsors / Exhibitors

REGISTER NOW AS AN EXHIBITOR


Connect with Key Prospects 

This conference is your opportunity to meet and network with compliance professionals from the insurance industry to discuss crucial regulatory issues and learn effective compliance practices.

Conference attendees typically include:

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

EXHIBIT PACKAGE  $4,800 (add $1,000 after April 17, 2017)

Each exhibiting organization will receive:

  • 6-foot skirted table
  • Electrical outlet
  • Two full conference registrations (total value $2,850– based on Non-Member rate)
  • One-time use mailing list (Your choice - three weeks prior to or three weeks following the event.)
  • Listing in the on-site conference mobile app
  • Listing on the LIMRA and LOMA Event web pages of your logo, description and website
  • Listing on the online conference event page
  • Recognition on general session walk-in slides

The exhibit area will be host to a reception on Wednesday evening, Thursday lunch, breakfast each morning and extended breaks on Thursday and Friday.

Sponsorship Opportunities - Raise your level of branding with this audience by securing a Sponsorship. Benefits include:

  • Multiple conference registrations, which include full access to attendees at breaks and meals
  • Special recognition in the registration brochure, conference mobile app, onsite signs, and general session walk-in slides
  • Acknowledgement from the podium
  • Your company's marketing collateral prominently displayed for attendees
  • Specialty conference merchandise that will deliver your company name to all attendees

REGISTER NOW AS AN EXHIBITOR

Sponsors

Contact us to learn more:

Joan O'Neil

Senior Conference Coordinator

LIMRA

(860) 285-7741

joneil@limra.com