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PROGRAM APPROVED
FOR 4.5 CLE CREDITS |
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WEDNESday, June 27, 2007 |
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7:45 a.m. 8:30 a.m. |
Registration and Continental Breakfast Hosted by Deloitte & Touche USA LLP |
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8:30 a.m. 12:00 p.m. |
Morning General Session Provided by FTEN, Inc. |
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8:30 a.m. 8:45 a.m. |
Welcome and Opening Remarks |
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John J. Maurello Managing Director |
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8:45 a.m. 9:15 a.m. |
Keynote Speaker |
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Grace Vogel Executive Vice President Member Firm Regulation |
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9:15 a.m. 10:00 a.m. |
Rick Bookstaber Author A Demon of Our Own Design |
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10:00 a.m. 10:15 a.m. |
Refreshment Break Hosted by MessageOne |
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10:15 a.m. 11:55 a.m. |
Operational Risk Management at the Corporate Level: A
Business and Regulatory Perspective |
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This panel will address the challenges of operational risk management and the strategies used to implement corporate wide risk management programs. |
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Moderator: Philippa Girling Global Co-Head of Operational Risk Panelists: Julian Fry Global Head of Operational Risk Michael Macchiaroli Associate Director Division of Market Regulation U.S. Securities and Exchange Commission Thomas H. Mattox Managing Director Global Head of Operational Risk Sean Moore Global Head of Operational Risk Management Prodyot Samanta Director, ERM |
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Noon 1:15 p.m. |
Luncheon |
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The Honorable Annette Nazareth Commissioner |
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1:15 p.m. 4:45 p.m. |
Afternoon General Session |
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1:15 p.m. 2:30 p.m. |
Risk Management in Business Units |
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This panel of business unit risk managers will discuss tactical ideas for planning and implementing risk management within business units and will address how they interact with corporate risk managers and other aspects of the firms internal control structure. |
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Moderator: Brian Ward Senior Vice President Risk Oversight Group, Risk Advisory Services Panelists: Jane F. Longendyck Managing Director Manager, Operational
Risk & Control Mary Lou Peters Executive Director Fixed Income Division Randy Unger Director of Business Risk Management George Walz Vice President, Member Regulation Steve Whiting Principal |
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2:30 p.m. 2:45 p.m. |
Refreshment Break |
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2:45 p.m. 3:45 p.m. |
Risk Convergence: Defining a More Effective Operating Model |
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Industry professionals will discuss how they are addressing the challenges of creating a converged approach to risk management. They will share their perspectives on how they are creating processes that better coordinate and leverage multiple risk management activities, within a firm-wide internal control structure, to reduce the business line burden and enhance the overall effectiveness of the risk management program. |
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Moderator: Daniel McKinney Partner Financial Services Advisory Practice Panelists: Mary Caracappa Managing Director SOX Compliance Officer Head of Finance Operational Risk Andrew Crean Managing Director, Finance Spyro Karetsos Vice President Robert Peiffer Managing Director Chief Operating Officer, Global Compliance |
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3:45 p.m. 4:45 p.m. |
Challenges of Integrating Operational Risk Measurement and Management |
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This panel will explore the challenges associated with implementing an enterprise risk management program including important recommendations for aligning an operational risk capital model to a firm's assessment, incident and indicator programs. Discussion of the role of metrics and business environment factors will be considered as essential elements of both a quantitative and qualitative approach to operational risk management. |
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Moderator: Jane Carlin Global Head of Operational Risk, BCP, and Information Security Panelists: Marcelo Cruz Global Head of Operational Risk and Analytics David Keenan Managing Director, Operational Risk Control Americas Dietmar Serbee Director |
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4:45 p.m. |
Adjournment |
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SIFMA would like to thank the following sponsors for supporting the Risk Management Conference: Compliance Reporter and Operations Management compliments of Lanyards compliments of Business Propulsion Systems Inc. (BPS) Tote Bags compliments of The Davidsohn Group Wall Street Journal compliments of Dow Jones Newswires |