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4/3/2019

When: Wednesday, April 3, 2019
From 5:30 to 8:00 pm
Where: Sidley Austin LLP
787 Seventh Avenue
New York, New York  10019
United States
Contact:

Phone: 212-533-2141

Registration Information
Online registration is available until: 4/1/2019
Details

FWA Annual Directors Reception

 

"Savvy Financial Services Boards Employ the Compliance Edge”

Please join us for one of the FWA’s premier (25 + years and running) and impactful annual events – an informal, off-the-record discussion on board service. This year our panel of compliance experts and leading best practice directors will provide their personal insights on how company management and boards can use ever more sophisticated compliance management as a proactive strategic advantage to shape the future of the business, driving strategy and decision making.

Headlines scream of high-profile compliance failures, especially in financial services, which have resulted in significant associated fines and penalties, as well as disrupted mergers and acquisitions, delays in regulatory approvals, and serious damage to corporate financial results and reputation. However, the once derided “cost center” of compliance is evolving to a “consequential tool” of decision makers with proactive and value-added information.

Done right, a strong compliance function can provide a company with a competitive edge in transactions and in its marketplace. Just one example is the new raft of revenue recognition standards: clever businesses should see this as an opportunity to upgrade systems allowing them to better understand their customers and get better customer level profitability. Using this more sophisticated generation of data could allow for a deeper dive into the operations to better assist in activities such as driving organizational strategy and decision making.

Sidley Austin partner Holly Gregory will moderate a panel of experienced corporate directors and chief compliance officers who will examine the evolving and demanding challenges facing boards of directors and the compliance function. How does a board determine its responsibilities and the appropriate level of oversight? What does management need to communicate effectively to the board to evaluate and mitigate compliance risk? How should new and increased risks be monitored and managed such as cybersecurity, cryptocurrency, and global economic events? Join us for a compelling and incisive discussion on how boards and management can create and maintain a corporate culture that makes effective compliance a strategic advantage.

Bring along colleagues – this important discussion will go on long after the evening’s end!

 

Who should attend:

  • Corporate directors interested in a closed-door session with governance experts
  • Seasoned directors, senior business leaders, and financial executives working in complex compliance environments, in any industry
  • Board ready candidates preparing for a board service and interested in high-stakes challenges facing today’s directors
  • Investors evaluating the role and performance of boards in overseeing compliance, overall and in crisis
  • Senior executives working with boards who would benefit from listening to experienced speakers sharing their view from the top


PANELISTS

 

Holly J. Gregory photoHolly J. Gregory, (moderator) co-chair of Sidley’s global Corporate Governance and Executive Compensation practice, counsels publicly held, private and not-for-profit corporations on the full range of governance issues, including governance structure and culture, fiduciary duties, risk oversight, conflicts of interest, board and committee structure, board leadership, special committee investigations, CEO transitions, board audits and self-evaluation processes, shareholder activism and initiatives, proxy contests, relationships with shareholders and proxy advisory firms, compliance with legislative, regulatory and listing rule requirements and governance “best practices.” She is frequently called on to advise boards regarding sensitive and unusual matters. While most of the matters she works on are highly confidential, high-profile matters that are in the public record include advising on governance and accountability mechanisms of the Internet Corporation for Assigned Names and Numbers (ICANN) to replace U.S. government oversight, and advising the Board of The Pennsylvania State University on governance reforms.

Holly played a key role in drafting the OECD Principles of Corporate Governance and has advised the Internal Market Directorate of the European Commission on corporate governance regulation, and the joint OECD/World Bank Global Corporate Governance Forum on governance policy for developing and emerging markets. She also drafted the National Association of Corporate Directors (NACD) Key Agreed Principles of Corporate Governance.

 

Betg Haddock imageBeth Haddock, Managing Partner of Warburton Advisers, is committed to delivering sustainable governance and compliance services to boards, CEOs and compliance management at leading multinational corporations, technology companies, and impact investing firms. Beth and her team leverage a counter-intuitive approach that protects clients while imbedding behavioral incentives that deliver bottom-line results. Beth draws on more than two decades in the trenches, and as CCO, at some of the world's leading financial services companies; most notably, AXA, Brown Brothers Harriman and Guggenheim.

Beth is also the author of Triple Bottom-line Compliance: How to Deliver Protection, Productivity and Impact and she hosts the podcast “What’s Ethical.” She also enjoys teaching Ethics and Compliance in the Global Organization as an adjunct professor, speaking in the U.S. and abroad on ethics and compliance topics and serving as Trustee and Corporate Secretary for the Brooklyn Music School and MUSE Academy Boards.

 

Shelley LeibowitzShelley Leibowitz serves on the Board of Directors of E*Trade Financial Corporation, where she sits on the Risk Oversight and Governance Committees, and on the Board of Directors of Alliance Bernstein Holding LP, where she sits on the Audit and Risk Committee. Additionally, she is a Director for Endgame, foremost provider of cybersecurity capabilities to the US intelligence and defense communities as well as to Fortune 100 companies.


Shelley is a leader among technology professionals, as an advisor, board member, thought leader, and coach. In 2016, she launched SL Advisory, providing tailored advice and insights to senior executives and boards of directors in areas of technology strategy, digital transformation, data intelligence, agile program delivery, IT portfolio and risk management, information security, performance metrics, and governance. Previously, she held Chief Information Officer positions at the World Bank, Morgan Stanley, Greenwich Capital Markets, Barclays Capital, and Investment Risk Management.

Shelley is a member of the Council on Foreign Relations, the Advisory Board for the Center for Development Economics at Williams College, the CNAS Council and the National Association of Corporate Directors.

 

Robin F. LennaRobin F. Lenna is a senior executive in financial services with expertise in retirement, structured risk and financial products, investments and risk management. Robin was executive vice president of MetLife’s Retirement and Income Solutions business from 2006-2018, with total annual sales of $20 billion and assets of $196 billion. She also served as chairman, president & CEO of General American Life Insurance Company and Metropolitan Tower Life Insurance Company from 2016-2018. Robin led the work to merge these two entities, establishing a new 50-state domiciled legal entity.


Prior to joining MetLife, Robin was head of structured finance at FleetBoston (now Bank of America) from 2002 to 2004. Previously, she had an 18-year career with Citigroup in roles that included global capital markets, client relationship management, corporate debt restructuring and turnarounds, and risk management.

Robin has served on numerous industry boards, including the LIMRA LOMA Secure Retirement Institute, the Employee Benefit Research Institute, and the advisory board for the Pension Research Council of The Wharton School at the University of Pennsylvania. She has a B.A. with honors from Swarthmore College and an M.B.A. in finance from Temple University.

Mary ann Picciotto photoMary Ann Picciotto, Chief Compliance Officer of OppenheimerFunds, joined the firm in March 2014. Mary Ann is responsible for establishing and maintaining a compliance program for OFI and its affiliated entities, including SEC registered investment advisers, commodity pool operators and commodity trading advisors, transfer agents, a broker-dealer, and a state-chartered trust company.

Before joining the OppenheimerFunds, Mary Ann worked for Morgan Stanley where she was most recently Managing Director, Global Head of Compliance for Morgan Stanley Investment Management and CCO for the Morgan Stanley Funds. Prior to Morgan Stanley, she worked for PricewaterhouseCoopers on the Assurance and Business Advisory Services team in the Investment Management Services division. Mary Ann earned her B.B.A. in accounting and her M.B.A. from Pace University.


Tweet out our event to @FWAny.

Event Schedule
5:30 - 6:00 PM Reception
6:00 - 7:00 PM Program
7:00 - 8:00 PM Networking
  

Cost
$50 FWA Members  |  $80 Non-Members  |  Includes generous hors d’oeuvres, drinks, and great company
 

Directions
Subway: C to 50th Street & 8th Avenue station; B/D/E to 7th Avenue station; B/D/F/M to Rockefeller Center station; N/Q/R to 49th Street station; 1 to 50th Street station.Click for location map.
    


 

Sidley logoSpecial thanks to Presidents Circle Company Sidley Austin LLP for hosting this event, and Holly Gregory, Partner at Sidley Austin LLP.

 

This event is organized by the Directorships and Corporate Governance Committee, in conjunction with the Global Agenda Committee, of the FWA of NY.

 

About the FWA
Established in 1956, the FWA is a 501(c)(3) nonprofit professional organization with a membership of approximately 1000 female and male professionals working in the financial services industry or who hold a financial position in another industry. The FWA has a long tradition of encouraging women to seek career opportunities in finance and business through mentorship and networking.
 


 

Reservations Required -- Bring Photo ID -- No Walk-Ins

 Reservations/Cancellations and payments are required by Monday, April 1, 2019.

 

 
 

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