Wednesday, July 9
2:15 – 3:15 PM General Session: Looking Forward: Where Are We Headed On Life Industry Suitability? BALLROOM
Speakers:
Susan Krawczyk, Partner, Sutherland, Asbill & Brennan, LLP
Karen Alvarado, Division Compliance Officer, AEGON USA, Inc.
Presentation 1 (PDF)
Presentation 2 (PDF)
Wednesday, July 9
3:30 – 4:30 PM Concurrent Breakout Sessions, BALLROOM
The FINRA Examination: What to Expect
Speakers:
Larry Kosciulek, Director, FINRA Investment Companies Regulation
Bruce Maisel, Vice President, Distribution Law, Thrivent
Presentation 1 (PDF)
Presentation 2 (PDF)
Presentation 3 (PDF)
Wednesday, July 9
3:30 – 4:30 PM Concurrent Breakout Sessions, TERRITORIES
Practical Compliance Tools: Perspectives from Legal and Compliance Experts
Speakers:
Carla Strauch, Director, Insurance Compliance, Thrivent Financial;
Suzanne Taylor, Counsel, General Counsel’s Office, American
Financial, Inc.
Presentation 1 (PDF)
Presentation 2 (PDF)
Presentation 3 (PDF)
Wednesday, July 9
4:30 – 5:30 PM Concurrent Breakout Sessions, TERRITORIES
New Statutory and Case Law Addressing Stranger Originated Life Insurance (STOLI)
Speakers:
Kate Kiernan-Pagani, Assistant Vice President & Counsel, Mass
Mutual;
Joy Chairusmi, Government Relations Counsel, MetLife
Presentation 1 (PDF)
Presentation 2 (PDF)
Presentation 3 (PDF)
Presentation 4 (PDF)
Wednesday, July 9
4:30 – 5:30 PM Concurrent Breakout Sessions, BALLROOM
Blindsided by Meta Data: Exposure and Solutions to Inadvertent Breaches of Confidentiality, Strategy, and Ethics through Electronic Documents
Speaker:
Carl Wilkerson, Vice President & Chief Counsel, Securities &
Litigation, American Council of Life Insurers;
Thursday July 10
9:00-10:00 AM General Session: Anti-Money Laundering, A Two Year Look Back: Performance of the Life Insurance Industry Under the Bank Secrecy Act. BALLROOM
Speaker:
Jamal El-Hindi, Associate Director, Regulatory Policy & Programs
Division, FIN-CENT
Presentation 1 (PDF)
Presentation 2 (PDF)
10:15-11:15 AM General Session: Principles Based Regulation, BALLROOM
Speakers:
JP Bernier, Senior Vice President, Compliance - Risk Management
and General Counsel, Canadian Life and Health Association
Grant Swanson, Executive Director, Licensing and Market Conduct
Division, Financial Services Comission of Ontario;
John Lewsen, Director and Chief Compliance Officer, BMO Life
Presentation 1 (PDF)
Presentation 2 (PDF)
Thursday, July 10
11:30 – 1:15 PM Luncheon with Speaker: Managing Teams in Crisis ONTARIO
Speaker:
Doug Hirschhorn, Peak Performance Coach, Author
Presentation 1 (PDF)
Presentation 2 (PDF)
Thursday, July 10
1:30 – 2:30 PM Concurrent Breakout Sessions, TERRITORIES
The SEC's Proposed Index Annuity Regulation: Implications for Insurance Companies
Speakers:
Steve Roth, Partner, Sutherland, Asbill & Brennan LLP
Carl Wilkerson, Vice President & Chief Counsel, Securities &
Litigation, American Council of Life Insurers
Thursday, July 10
1:30 – 2:30 PM Concurrent Breakout Sessions, BALLROOM
Legislative and Regulatory Update
Speakers:
Kimberly Olson Dorgan, Executive Vice President, Federal Relations, ACLI;
Bruce Ferguson, Senior Vice President State Relations, ACLI
Thursday, July 10
2:30 – 3:30 PM Concurrent Breakout Sessions, BALLROOM
Where Are We Now On Suitability: FINRA Rule 2821 & NAIC Suitability Regulation
Speakers:
John Apostle, Senior Vice President, Genworth
Dave Griffin, Assistant Vice President & Compliance Officer,
Baltimore Life;
Donald Walters, Senior Vice President, General Counsel & Secretary,
Insurance Marketplace Standards Association
Presentation 1 (PDF)
Presentation 2 (PDF)
Presentation 3 (PDF)
Presentation 4 (PDF)
Presentation 5 (PDF)
Presentation 6 (PDF)
Presentation 7 (PDF)
Presentation 8 (PDF)
Thursday, July 10
2:30 – 3:30 PM Concurrent Breakout Sessions, TERRITORIES
Litigation Update
Speakers:
David Jones, Partner, Akin Gump
Ann Young Black, Partner, Jorden Burt
Presentation 1 (PDF)
Presentation 2 (PDF)
Thursday, July 10
4:00 – 5:15 PM General Session: Credentialing BALLROOM
Moderator:
David Leifer, Associate General Counsel, ACLI
Speakers: Joseph Borg, Director, Alabama Securities Commission
John Apostle, Senior Vice President, Genworth
Presentation 1 (PDF)
Presentation 2 (PDF)
Presentation 3 (PDF)
Presentation 4 (PDF)
Presentation 5 (PDF)
Presentation 6 (PDF)
Presentation 7 (PDF)
Presentation 8 (PDF)
Presentation 9 (PDF)
Presentation 10 (PDF)
Presentation 11 (PDF)
Presentation 12 (PDF)
Presentation 13 (PDF)
Presentation 14 (PDF)
Thursday, July 10
5:15 – 5:45 PM Survey Bistro: BALLROOM
Investment Adviser Law Survey Summary, 2008 AML Survey Update
Speakers:
Barbara Price, Vice President, Legislative & Regulatory Information,
American Council of Life Insurers
Jeff Janoska, Senior Policy Analyst, American Council of Life
Insurers
Presentation 1 (PDF)
Presentation 2 (PDF)
Presentation 3 (PDF)
Presentation 4 (PDF)
Presentation 5 (PDF)
Presentation 6 (PDF)
Presentation 7 (PDF)
Friday, July 11
8:00 – 8:45 AM General Session: Information Inflation & Litigation Risk: What To Do About it? BALLROOM
Speakers:
Jason Baron, Director of Litigation, National Archives and Records
Administration;
Mark Cordover, Founder, CEO of IT-Discovery, A Division of IT.com
Presentation 1 (PDF)
Presentation 2 (PDF)
Friday, July 11
8:45 – 9:30 AM General Session: Federal E-Discovery Rules, BALLROOM
Speaker:
Jen Spaziano, Partner, Skadden Arps
Presentation 1 (PDF)
Friday, July 11
9:30 – 10:00 AM Q & A Roundtable Discussion, BALLROOM
Speakers:
Jason Baron, Director of Litigation, National Archives and Records
Administration
Mark Cordover, Founder, CEO of IT-Discovery, A Division of IT.com
Jen Spaziano, Partner, Skadden Arps
Friday, July 11
10:15 AM – 12:15 PM General Session: Ethics, BALLROOM
Speaker:
William Hoye, Executive Vice President, Administration, Planning &
Legal Affairs, Institute for the International Education of Students (IES)
Presentation 1 (PDF)
Presentation 2 (PDF)