Risk Management and Regulatory Examination/Compliance Seminar
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10/7/2014 to 10/8/2014
When: 10/7/2014
Where: CUNY Graduate Center
365 Fifth Avenue
New York, New York  10017
United States
Contact: Andy Lebron

Online registration is closed.
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This once-a-year program is well recognized by the regulatory community as providing definitive and timely information on key examination and supervision issues and best practices.  It provides an excellent opportunity for experienced officers to be thoroughly updated on new developments and gain practical insights in preparing for examinations.  It also offers new officers a solid introduction to the U.S. regulatory system and compliance requirements. Accordingly, we urge all member institutions to be represented.

Confirmed government speakers include: Sarah Dahlgren, Executive Vice President of the Federal Reserve Bank of New York, who will give the first-day luncheon speech; Jean Walsh, Acting Executive Deputy Superintendent (Banking Division) of the New York State Department of Financial Services, who will give the second-day luncheon speech; Jack Jennings, Senior Associate Director of Banking Supervision and Regulation at the Federal Reserve Board;  Vance Price, Deputy Comptroller of the Currency for International Banking Supervision; Brian Bussey, Associate Director of Derivatives Policy and Trading Practices at the SEC; Gary Barnett, Director of the Swap Dealer and Intermediary Oversight Division of the CFTC; Ron Cathcart, Senior Vice President and Head of Enterprise Risk Supervision at the New York Fed; Marci Heppner, Director of International Banking Supervision at the OCC; Koko Ives, Manager of the BSA/AML Compliance Section at the Federal Reserve Board; Jeffrey Raymond, Assistant Deputy Superintendent of Banking, New York State Department of Financial Services; Stephanie Brooker, Associate Director for Enforcement at FinCEN; and Anand Ramtahal, Senior Vice President, Risk Oversight and Operational Regulation at FINRA.  As in past years, the program will also feature private-sector experts from the IIB's member institutions and member firms of the IIB's Professional Liaison Committee.

Interested individuals should note that the IIB plans to file with the New York Continuing Legal Education Board an application for accreditation of the seminar.  In the event accreditation is granted, seminar attendees who are experienced attorneys subject to the New York continuing legal education requirement will be eligible to receive CLE credit as authorized by the Board (in this connection, a copy of the IIB’s financial hardship policy is available on request).

The fee to attend the two-day seminar is $1,195 per registration for members ($1,495 per registration for non-members), which will also cover the luncheon programs and continental breakfasts on both days.  There is a reduced rate of $995 per person for member institutions registering three or more individuals by entering the Promotional Code "IIBCompSem14".  In addition, there is the option of a transferable registration at $1,495 that will give member institutions the flexibility of sending up to three representatives to the seminar on a rotating basis (only one individual at a time may attend the seminar program).

For registration and sponsorship related questions please contact Andy Lebron, Events Registration Coordinator at (646)213-1140 or iib@iib.org.

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