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2018 Regulatory Compliance Exchange

The Forward-Thinking Forum

3/21/2018 - 3/23/2018
Hyatt Regency New Orleans, New Orleans, LA

Overview

Who Attends

This conference is designed for

  • 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: $1,250
AIRC Designee: $1,150
Nonmember: $1,875
Guest/Spouse fee: $100

After March 1, 2018:
LIMRA and LOMA member: $1,450
AIRC Designee: $1,350
Nonmember: $2,075
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 21, 2018. No refunds will be granted after that time. In the unlikely event the meeting is cancelled, LIMRA and LOMA will refund the total registration fee. However, LIMRA and LOMA will not be responsible for any travel, hotel accommodations or other costs incurred.

Hotel/Venue

Hyatt Regency New Orleans

601 Loyola Avenue
New Orleans, LA, USA, 70113

Hotel Reservations

If you receive any unsolicited or suspicious email or phone call about a hotel booking in conjunction with this meeting, our advice is not to click on it, but delete the email immediately. In the case of a phone call, never give out your credit card information. Our designated conference hotels will never call you unless you contact them first.

Hyatt Regency New Orleans
601 Loyola Avenue
New Orleans, LA 70113
Phone: 504-561-1234

Reservations Phone: 888-591-1234 (mention 2018 Regulatory Compliance Exchange)

Make your reservations by March 1, 2018 to receive the group rate of $219 single/double (plus applicable sales taxes). Requests after March 1 will be accepted based on space availability. The group guest room rate will be offered 3 days prior and 3 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.

To make hotel reservations   

Hyatt Regency New Orleans

Agenda

Speakers

Craig Friedman
Senior Manager, Deloitte & Touche LLP
  • Friday, March 23, 2018

    8:00 am - 9:00 am: General Session 4 - A New York State of Mind

Craig Friedman

Senior Manager, Deloitte & Touche LLP

Craig is a Senior Manager in Deloitte’s wealth and investment management practice with over 15 years of experience consulting to industry on transformational regulatory and operations initiatives. Craig is a leader on Deloitte’s Fiduciary Risk and DOL Fiduciary Rule team, and has advised numerous clients on the design and implementation of fiduciary operating models, including enhanced supervision and surveillance capabilities, design of best interest workflows that both increase operational efficiency and reduce regulatory risk, and design and implementation of conflicts of interest management programs. Prior to Deloitte, Craig worked in various professional services roles at SS&C Technologies and Advent Software.
Nick Gerhart, J.D., M.H.A.
FBL Financial Group

Nick Gerhart, J.D., M.H.A.

FBL Financial Group

Nicholas C. (Nick) Gerhart, J.D., M.H.A., joined FBL Financial Group as Chief Administrative Officer in January 2017. In this role, Gerhart has responsibility for enterprise strategic planning, government relations, human resources and health services, among other administrative functions.

Gerhart served as the Insurance Commissioner for the State of Iowa from February 2013 until December 2016. During his time as Commissioner he was very involved at the NAIC and served on the Executive Committee, Chair of the Life and Annuity (A) Committee and was appointed to the Federal Advisory Committee on Insurance.   Gerhart appeared on CNBC to discuss health care reform and was frequently quoted in the Wall Street Journal and New York Times.  He created an investment educational program, “Iowa Fraud Fighters” and led the team that created the Global Insurance Symposium.  He spent time mentoring startup companies throughout the world and helped the NAIC deal with the challenges of regulating in the world of innovation and change.

Judy Hopkins
Head of Legal, Haven Life Insurance Agency, LLC
  • Friday, March 23, 2018

    9:15 am - 10:15 am: General Session 5 - Cyber Security: The Role of Compliance in a Constantly Changing World

Judy Hopkins

Head of Legal, Haven Life Insurance Agency, LLC

Judy Hopkins is the Head of Legal for Haven Life Insurance Agency, LLC, a life insurance startup wholly owned by MassMutual. At Haven Life, Ms. Hopkins leads a team of legal and compliance professionals advising on an array of issues including product development and filing, algorithmic underwriting, privacy/cybersecurity, advertising and marketing, distribution and vendor management. Essential to her role is helping the Haven Life team navigate a complex regulatory landscape while operating in a fast paced, agile environment that strives to offer a simple online experience for buying high-quality and affordable insurance products.

Prior to joining Haven Life in May 2017, Ms. Hopkins was a Vice President and Corporate Counsel in the Data and Digital Law Practice Group at Prudential Financial. In this role, Ms. Hopkins advised the U.S. Customer Office and other businesses on digital initiatives, such as big data, data analytics models, electronic communications and delivery, marketing, and various initiatives designed to engage customers and improve their experience across Prudential.
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, March 23, 2018

    9:15 am - 10:15 am: General Session 5 - Cyber Security: The Role of Compliance in a Constantly Changing World

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.
James Pastore
Litigation partner and member of Cybersecurity & Data Privacy practice and Intellectual Property Litigation Group, Debevoise & Plimpton LLP

James Pastore

Litigation partner and member of Cybersecurity & Data Privacy practice and Intellectual Property Litigation Group, 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. His practice focuses on privacy and cybersecurity issues. Mr. Pastore is recognized by The Legal 500 US (2016-2017) for his cybersecurity work. Cybersecurity Docket (2016) named Mr. Pastore one of the “Incident Response 30,” a collection of 30 of the “best and brightest” incident response attorneys in the country. In addition, he was recently included on Benchmark Litigation’s Under 40 Hot List and is one of Law 360’s Rising Stars, an accolade for attorneys under 40 that recognizes his outstanding career accomplishments.

Prior to rejoining Debevoise in 2014 as counsel, Mr. Pastore served for five years as an Assistant United States Attorney in the Southern District of New York. While he was with the Criminal Division of the U.S. Attorney’s Office, Mr. Pastore spent most of his time as a prosecutor with the Complex Frauds Unit and Computer Hacking and Intellectual Property Section. 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.
Peter Ricchiuti
Director of Research for Burkenroad Reports A.B. Freeman School of Business, Tulane University

Peter Ricchiuti

Director of Research for Burkenroad Reports A.B. Freeman School of Business, Tulane University

Peter Ricchiuti is the business professor you wish you had back in college. His humor and insight have twice made him the top professor at Tulane University’s Freeman School of Business. In a recent competition, Peter’s teaching delivery skills placed atop a field of 500 universities representing 43 countries.

Peter is a graduate of Babson College, started his career at the investment firm of Kidder Peabody & Co and later served as the assistant state treasurer for Louisiana. There he successfully managed the State’s $3 billion investment portfolio.

Peter has addressed over 1000 groups in 47 states. These include groups of nuns, tin can manufacturers, money managers, waterpark owners, insurance professionals and NFL players. He has even done a couple of TED TALKS.
Diane Stuto
Managing Director, Legislative and Regulatory Affairs, Life Insurance Council of New York
  • Friday, March 23, 2018

    8:00 am - 9:00 am: General Session 4 - A New York State of Mind

Diane Stuto

Managing Director, Legislative and Regulatory Affairs, Life Insurance Council of New York

Diane Stuto is the Managing Director, Legislative and Regulatory Affairs, of LICONY. She joined in the association in 1990 as an Assistant Vice President. She was appointed to Vice President in 1995, Senior Vice President in 1999, and to her current position in 2003. Diane's focus is primarily on legislative issues of importance to the life insurance industry of New York.

She is the primary contact for LICONY to the National Conference of Insurance Legislators (NCOIL). Diane is the LICONY PAC treasurer and is principally responsible for lobbying, New York election law and ethics compliance. She also has responsibility for certain regulatory issues, including life insurance and annuity replacements, annuity suitability, investment issues, including derivatives regulation, and holding company matters, including ERM and ORSA.
Christine Szafranski, FLMI, ITPM, CIPM, CIPP/US
Senior Director - Information Risk Management, The Northwestern Mutual Life Insurance Company

Christine Szafranski, FLMI, ITPM, CIPM, CIPP/US

Senior Director - Information Risk Management, The Northwestern Mutual Life Insurance Company

Chris Szafranski leads the Privacy, Records Management and the Business Information Security Liaison (BISL) programs for Northwestern Mutual and its subsidiaries. Accountabilities include privacy incident management, records management compliance, PCI and HIPAA compliance, as well as regulatory preparedness, response and reporting for both privacy and cybersecurity.

Chris has over twenty-five years of experience in the financial services industry and is a Certified Information Privacy Manager (CIPM), a Certified Information Privacy Professional/US (CIPP/US) and holds an Insider Threat Program Manager Certificate (ITPM). Chris has a MBA with concentrations in risk management and human resources. She is also a Fellow of the Life Management Institute (FLMI) and is FINRA Series 6, 7 and 24 qualified.
Douglas Wheeler
Senior Vice President, Office of Governmental Affairs (State Affairs), New York Life Insurance Company

Douglas Wheeler

Senior Vice President, Office of Governmental Affairs (State Affairs), New York Life Insurance Company

Doug is currently a Senior Vice President in New York Life’s Office of Government Affairs. In his role, Doug and his team are responsible for the company’s government affairs operation in all 50 states including all activities involving the National Association of Insurance Commissioners. Doug joined the company in October 2011 as a Vice President in the Office of Government Affairs.

Prior to his tenure at New York Life, Doug was the Director of the Division of Insurance in the New Jersey Department of Banking and Insurance from March 2009 through October 2011. As Director, Doug was the chief regulator of the New Jersey life, health and property-casualty insurance markets, issuing licenses to insurance companies and producers, reviewing insurance products and rates for compliance with existing regulations, and monitoring the financial solvency of companies in the marketplace. This was Doug’s second stint at the Department as he had served as Assistant Commissioner for Legislative and Regulatory Affairs managing the Department’s legal team and as Chief of Staff at the Department from 2002 to 2006.
Caveni Wong, MBA, CCEP
Principle Compliance, Inc.
  • Friday, March 23, 2018

    10:30 am - 11:15 am: General Session 6 - What's an Ethical Culture, Why It Matters, and What It Takes

Caveni Wong, MBA, CCEP

Principle Compliance, Inc.

Caveni Wong is the Founder & Principal of Principle Compliance, Inc., a management consulting firm with a focus on corporate ethics and compliance. Since 2006, Caveni has helped multinational corporations develop and manage global ethics and compliance programs. She combines experience in organizational change management and the technology industry to help clients execute a full range of ethics and compliance initiatives, from program strategy, risk assessment, and vendor evaluation to Code of Conduct and training development. Caveni previously worked for Ernst & Young, IBM, and LRN. She graduated cum laude from the University of California, Los Angeles with a B.A. in Communication Studies and holds an MBA from Duke University.

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 is $4,750 (after February 9th, Exhibitor fee is $5,000) and includes:

Each exhibiting organization will receive:

  • A 10'x10' space (exhibits will not include pipe & drape), including electrical
  • 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 (with push notifications), 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

Platinum Sponsor

Gold Sponsor

Contact us to learn more:

Joan O'Neil

Senior Conference Coordinator

LIMRA

(860) 285-7741

joneil@limra.com