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2019 Regulatory Program: Senior Leadership Perspectives on Evolving Risks & Regulatory Expectations

Date: Wednesday, March 6th 2019

Location: Federal Reserve Bank of New York, 33 Liberty Street New York, NY

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

PLEASE NOTE: THE REGISTRATION CUT-OFF DATE IS CLOSE OF DAY ON WEDNESDAY, FEBRUARY 27TH 2019. WE ARE REQUIRED TO SUBMIT OUR REGISTRATION LIST TO THE FEDERAL RESERVE BANK FOR SECURITY REASONS. WE CANNOT ACCEPT LATER REGISTRATIONS OR WALK-INS.

Please join our distinguished panel as we explore the regulatory landscape and its impact on the financial services industry. Topics will include:

2019 Top Regulatory Priorities
Emerging regulatory risks and how the Financial Services Industry should be addressing these risks
Evolving technology risks in the markets and regulatory focus
Range of practice and lessons learned from regulatory examinations

Please see the publication links below. These will be referenced by the panel and can serve as a great additional resource for those who are interested in a deeper dive.

Panelists:

William Brodows, Senior Vice President, Supervision Group, Federal Reserve Bank of New York

William J. Brodows is a Senior Vice President in the Supervision Group at the Federal Reserve Bank of New York. He currently manages the risk specialists dedicated to the Federal Reserve's systemically important institutions and serves on various steering committees governing the supervision of these firms. Mr. Brodows joined the NY Fed as a bank examiner in 1996 and has served in a number of management positions in large bank supervision and risk specialty areas.

Prior to the Federal Reserve, Mr. Brodows worked at Merrill Lynch in corporate treasury and in the futures business. He also served as Treasurer of a regional bank holding company based in Rochester, NY.

Mr. Brodows holds a B.A. from Boston University and an M.B.A. from the University of Rochester.

Thomas J. Butler, Associate Regional Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (SEC)

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.

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.

James M. Gallagher, National Bank Examiner, The Office of the Comptroller of the Currency (OCC)

James M. (Jay) Gallagher is a National Bank Examiner for the Office of the Comptroller of the Currency (OCC). He currently serves as the OCC's Large Bank Supervision (LBS) Market Risk Team Leader. Some of the key responsibilities in this capacity are leading and managing a team of experts and specialists in assessing risk exposures across the large banks supervised by the OCC; representing the OCC & LBS in interagency and international committees and working groups; and working with other OCC units to set priorities for development of supervisory guidance & regulation. This currently includes representing LBS on the OCC's National Risk Committee.

Mr. Gallagher joined the OCC in 1992 as an Assistant National Bank Examiner. During his career with the OCC, he has led a wide-array of examinations and exam teams at complex and highly complex banks, trust companies, and federal branches. This has included being responsible for a substantial portion of the supervisory activities at an OCC Supervised Globally Systemically Important Bank, as well as working on high-profile investigations with the OCC's Enforcement and Compliance Division.

He is a Certified Fiduciary and Investment Risk Specialist. He is a veteran of the United States Marine Corps Reserve. Mr. Gallagher graduated from Bloomsburg University of Pennsylvania.

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.

The following publications will be referenced on the panel:

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