IRI Government, Legal & Regulatory Conference 2013

Hear updates from top leaders on the hot-button legal, regulatory and public policy issues facing the industry.

Please note that if a particular session is not included on this page, it is because IRI does not have permission to post the session content online or no materials were available.

Monday, June 17, 2013

SEC: Dodd-Frank Implementation and Other Major Initiatives 
Speaker: Paul Atkins, CEO, Patomak Global Partners

SEC, NAIC, and FINRA Examination & Enforcement Trends
Moderator: Brian Rubin, Partner, Sutherland Asbill & Brennan LLP 
Panelists: Willie Davis, Examination Manager, U.S. Securities and Exchange Commission, Chicago Regional Officer
Bruce Ramge, Director, Nebraska Department of Insurance
Daniel Sibears , E
xecutive Vice President, Member Regulation Program, FINRA

FINRA’s Disciplinary Actions in 2012: Trends and Analysis
Stepping Into the Ring Against the SEC and FINRA: Sometimes It Pays to Duke It Out Against the Regulators

Trends in Annuity Product Development
Moderator: Noel Abkemeier, Consulting Actuary and Principal, Milliman, Inc.
Panelists: Judy Bartlett, Vice President and Associate General Counsel, New York Life Insurance Company
Dodie Kent, Vice President and Associate General Counsel, AXA Equitable Life Insurance Company 
Stephen Roth, Partner, Sutherland Asbill & Brennan LLP

Stephen Roth: Variable Annuity DeRisking Initiatives

Broker-Dealer Issues
Moderator: Kathy VanNoy-Pineda, Executive Vice President and Chief Compliance Officer, LPL Financial
Panelists: Patricia Kelley, Vice President and Chief Compliance Officer, Prudential Annuities, Prudential Financial
Noah D. Sorkin, Executive Vice President and General Counsel, AIG Advisor Group

Tuesday, June 18, 2013

Product Development: Legal and Regulatory Challenges

Moderator: Joan Boros, Partner, Jorden Burt LLP
Panelists: Thomas Roberts, Of Counsel, Groom Law Group, Chartered
Keith Robinson, Partner, Dechert LLP
Barry G. Skolnick, Esq., Partner, Mitchell, Williams, Selig, Gates & Woodyard, PLLC

Barry Skolnick - Buffer Annuities Outline
Appendix to Buffer Annuities Outline
Keith Robinson - Underlying Fund Trends and Developments
Tom Roberts - Legal and Regulatory Challenges to Insure Retirement Products_ERISA Issues

SEC and DOL Fiduciary Initiatives
Moderator: The Honorable Bradford P. Campbell, Counsel, Drinker, Biddle & Reath LLP
Panelists: Tonia BottomsDirector and Managing Counsel, Pershing, LLC
Paul CellupicaChief Counsel, Americas, MetLife
Mark QuinnChief Risk Officer, First Allied Securities, Inc

Tax Policy and Tax Reform in an Uncertain World
Speakers: The Honorable Earl Pomeroy, Former Member of Congress (North Dakota), Senior Counsel,  Alston & Bird LLP
Stephanie Silverman, Founder and Chief Executive Officer, Venn Strategies LLC