Chief Compliance Officers — Compliance and Internal Audit
Legal Counsel, General Counsel, and Attorneys
Compliance and Market Conduct VPs, Directors, and Managers
Compliance, Market Conduct, and Legal Staff
Audit and Risk Management Managers and Staff
AIRC Designees (who receive $100 off the member rate when they register)
Highlights
The Regulatory Compliance Exchange is a unique meeting planned by Compliance professionals for Compliance professionals. We meet each year to discuss crucial regulatory issues and learn effective compliance practices from peers and topical experts. A broad range of topics — from strategic issues to effective practices — will be covered in addition to panel discussions by industry regulators.
Director of Financial Regulation Studies, Cato Institute
Mark Calabria is director of financial regulation studies at the Cato Institute. Before joining Cato in 2009, he spent six years as a member of the senior professional staff of the U.S. Senate Committee on Banking, Housing and Urban Affairs. In that position, Calabria handled issues related to housing, mortgage finance, economics, banking, and insurance for Ranking Member Richard Shelby (R-AL). Prior to his service on Capitol Hill, Calabria served as Deputy Assistant Secretary for Regulatory Affairs at the U.S. Department of Housing and Urban Development. He has extensive experience evaluating the impacts of legislative and regulatory proposals on financial and real estate markets. He holds a doctorate in economics from George Mason University.
Vice President and Associate General Counsel, Foresters
Stephen A. Cheeseman is Vice President and Associate General Counsel Foresters, US Division Chief Compliance Officer, (Toronto), Chief Compliance Officer and Director of Legal Affairs, Foresters Equity Services Inc. (San Diego). He received his Juris Doctor from the University of Windsor Law School in 1987 and is admitted to practice in Ontario (1989), Colorado (1998) and the UK Bar (2001). His early legal career was focused on advising small technology firms before joining Foresters in 1999. Since then his legal practice has been US oriented in the areas of information technology, insurance regulations, mutual fund sales, long term care and employment law. He is also a licensed Principal and Supervisor for FESCO’s Broker Dealer and Registered Investment Advisor platform. He is an active member, committee leader and speaker to a number of financial industry organizations including American Conference of Life Insurers, LIMRA Social Media Advancement Council, Canadian Health and Life Insurance Association, LIMRA Regulatory Exchange Committee and the past president of the Association of Fraternal Benefit Counsel.
Vice President, U.S. Sales and Marketing, Foresters
George joined Foresters in March 2011 to lead the team that establishes, builds, and maintains relationships with independent life insurance distributors across the U.S. He is focused on growing distribution, penetrating specialty markets, and continuing line-of-business diversification. Before joining Foresters, George was Vice President, Brokerage Sales, at American National Insurance Company, where he built enduring brokerage-independent relationships. Prior to joining ANICO, George was President and Owner of a benefit and tax planning firm in Florida.
After more than 20 years as an executive in the insurance and financial services industry, Maria Ferrante-Schepis joined Maddock Douglas in 2010 to focus on the opportunities for innovation in those industries. Her mission is to enable like-minded executives to proactively shape their own change, versus having it shaped for them. Ferrante-Schepis has helped clients in all the major lines of insurance, retirement and investments address challenges relative to category disruption. She co-authored the book, Flirting with the Uninterested; Innovating in a ‘Sold Not Bought’ Category, and, in 2015, was named one of the 20 most creative people in insurance by The National Underwriter magazine.
Corporate Vice President, Home Office Underwriting, Quality Assurance, Research & Training Team, New York Life Insurance Company
Gregory is a FINRA Principal responsible for managing New York Life’s Pacific Zone Large Case Unit, underwriting for two general offices, and underwriting special risks — foreign travel, residence, visa, aviation, occupations, and avocations. He has nearly 30 years of experience in the industry and has previous responsibilities in Home Office Underwriting audits, topic review and research, and training and presentations.
Director of Insurance, New Jersey Department of Banking and Insurance
Mr. Hartt oversees a staff of more than 300 in five operating units: Solvency Regulation; Consumer Protection; Property and Casualty; Life and Health; and Captive Insurance. He joined the Department in 2000 and became Assistant Director of Insurance in 2002, Assistant Commissioner for the Division as a whole in 2010, Acting Director in 2011, and Director in 2014. Mr. Hartt has been involved in all policy areas in the division, with a focus in recent years on the growth of insurance markets, including through the admission of new insurers, the progress of insurance reform, competition in personal lines markets, preparations for natural disasters, and the evolving interaction of state, federal and foreign financial regulatory regimes. Mr. Hartt has been a member of the Department’s Property and Casualty Admissions Committee. He has also been the Department’s liaison to the Property and Casualty Producers Advisory Committee, the Life and Health Advisory Board, and the Title Insurance Liaison Committee. He has also served as State Agency Liaison to the Executive Planning Committee of the New Jersey Domestic Security Preparedness Task Force, and is a member of the New Jersey Horse Racing Injury Compensation Board. He is also involved in a number of policy matters before the National Association of Insurance Commissioners through his representation of the Department on various NAIC working groups.
Scott leads LIMRA’s Strategic Research program, which stimulates thought and facilitates management decision making by identifying and examining issues impacting the financial services industry. During the past year he has recently led research on lowering barriers to buying insurance with clear and effectively communications; and growing sales by forging connections with today’s distracted. With over 25 years of market and strategic research experience, Scott is a frequent speaker at industry forums, and is a regular contributor to the trade press, including LIMRA’s flagship publication, LIMRA’s MarketFacts Quarterly.
Vice President, Chief Privacy Officer and Chief Ethics Officer, New York Life Insurance Company Anti-Money Laundering Compliance Officer, New York Life Insurance Company, New York Life Insurance and Annuity Corporation, and NYLIFE Securities LLC
Brian Loutrel is a Vice President at New York Life Insurance Company in charge of anti-money laundering compliance, privacy/information security compliance as well as business conduct/ethics compliance programs. Brian is the Anti-Money Laundering Compliance Officer for New York Life Insurance Company, New York Life Insurance and Annuity Corporation, and NYLIFE Securities LLC. In addition, Brian is New York Life’s Chief Privacy Officer and Chief Ethics Officer.
Brian joined New York Life in June 1982 after graduating from Barry University in Miami, Florida. During his tenure with New York Life, Brian spent fifteen years with the Corporate Audit Department conducting operational and information systems audits and fraud investigations, and the last sixteen years with the Corporate Compliance Department, where he has managed several divisions, including branch office compliance examinations, agent licensing and FINRA registration, complaint handling, sales material review and the handling of regulatory inquiries and examinations.
Vice President, Multicultural Market Development, MassMutual Financial Group
Chris is responsible for leading and implementing the business strategy for MassMutual to reach diverse consumers and recruit producers from various cultures to its career agency system. He draws on 26 years of insurance and financial services sales and marketing experience, which started when he became a multiline agency owner for Allstate. Chris is a certified diversity trainer, serves on the National Hispanic Advisory Council for Big Brothers Big Sisters of America, and is a board member for Girl Scouts of Central and Western Massachusetts. He teaches marketing and management courses at University of Phoenix, and mentors doctoral students as they pursue their degrees.
Larry works with LIMRA member companies to reduce their regulatory risk, including serving as an expert witness on product suitability, supervision, and supervisory controls. He is an insurance, securities, and advisory professional with nearly 40 years of experience. Larry acted in a principal capacity in a variety of insurance company business units including life policy administration, variable annuity new issue, field office inspections, and broker-dealer compliance and investment advisor compliance. He spent most of his career at John Hancock, where he held over 15 separate positions during his 25 years, progressing to Chief Compliance Officer of its U.S. retail FINRA broker-dealer and SEC Registered Investment Advisor, Signator Investors, Inc.
Assistant Vice President of Social Media and Regulator Relations, LIMRA
Stephen leads a team responsible for LIMRA’s core compliance products, including AML training for insurance agents, annuity training, and background checks. He also co-founded the Social Media Conference for Financial Services, created the #SilverBowlAwards, and provides both training and consulting services to help financial services firms enhance their social media presence in compliance with regulatory requirements. Stephen joined LIMRA in 2008 from Lincoln Financial Advisors, where he was the director of regulatory affairs.
Executive Vice President, Regulatory Policy and Legal Compliance Officer, FINRA
Tom, who joined FINRA in 1996, oversees their departments of Corporate Financing, Advertising Regulation, and Regulatory Policy, and the Office of Emerging Regulatory Issues. From 1992 to 1996, he was Associate Counsel at the Investment Company Institute, a trade association for the mutual fund industry. Prior to that time, Tom served as Special Counsel in the Office of General Counsel at the United States Securities and Exchange Commission, a position he held beginning in 1987. He was an Attorney-Advisor to the European Union in Brussels, Belgium, from 1986 to 1987. In addition to his career accomplishments, Tom has authored articles that were published in Investment Lawyer, The International Lawyer, and Insights. He earned his Doctor of Jurisprudence degree from The University of Texas School of Law, where he was Associate Editor of the Texas Law Review.
Corporate Vice President and Director, Research Quality & Markets Research, LIMRA and LOMA
Silverhart is responsible for directing select strategic research initiatives as well as implementing and managing processes to assure the quality of LIMRA and LOMA’s research program. Todd oversees the development of research agendas, the practices followed in conducting research, and the procedures for assuring the quality of research deliverables.
A frequent industry speaker and author, he also serves as staff representative for LIMRA and LOMA’s Customer Insight Advisory Council.
Having joined LIMRA and LOMA in 1988, Silverhart previously served in LIMRA and LOMA’s Assessment Solutions unit, where he conducted producer and field manager selection research, consultation, and product development. From 2000 to 2019 he managed various LIMRA and LOMA research functions including Technology in Marketing and Distribution, Markets, and Insurance Research.
Silverhart is a graduate of Middlebury College and received his Ph.D. in industrial and organizational psychology from Old Dominion University.
Ed Wegener manages the Midwest District’s Surveillance and Examination Programs. He began his career with FINRA in 1998 as an examiner and has been with the District Office ever since. Prior to joining FINRA, he was a general securities principle with an insurance-affiliated boker-dealer in the Chicago area. Ed earned his CRCP designation through the FINRA Institute at The Wharton School of the University of Pennsylvania, and has also received certificates from the FINRA Leadership Program at Wharton and from the Center for Creative Leadership.. He earned his master’s degree in accounting and financial management from Keller Graduate School of Management of DeVry University.
Manager, Special Projects, Life and Health Division Bureau of Insurance, Virginia State Corporation Commission
Jim joined the Virginia State Corporation Commission’s Bureau of Insurance in 1995 and is currently the Manager of Special Projects for the Life and Health Division. Previously Jim was a Senior Examiner of the Market Conduct Section and has served on the Insurance Regulatory Examiners Society’s Board of Directors. He is an active participant on several NAIC working groups regarding Health Insurance Reform and the NAIC’s working group on Military Sales Practices. Prior to joining the Bureau of Insurance, Jim was a vice president and marketing director at several major life insurance companies as well as a corporate officer of national insurance marketing firms. He began his insurance career as a life and health insurance agent. Jim served in the US Army as an officer with the Special Forces and has received numerous awards for combat actions.
Refund Policy: All cancellations and refund requests must be received in writing. These requests carry a $100.00 U.S. administrative charge. Full refunds minus the administrative fee will be granted on written requests received no later than ten business days before the meeting. No refunds will be granted if the request is received within ten business days of the meeting. If for any reason a meeting is cancelled, the Conference Organizers will refund the total registration fee. However, the Conference Organizers will not be responsible for any travel, hotel accommodations or other costs incurred. Cancellation requests should be submitted to meetings@loma.org.
Hotel / Venue
Marriott Crystal Gateway 1700 Jefferson Davis Highway
Arlington, VA 22202
If you make a room reservation by phone, call by Monday,
February 9, 2015, and mention the Regulatory Compliance Exchange to
receive a special nightly rate of $239 + taxes. This rate is
available three days prior through three days after the conference,
based upon availability at the time of request.
Please note that hotel rates will go up after February 9, 2015,
or when the block of rooms for this conference sells out, whichever
comes first. Make your reservations early to take advantage
of our discounted rates.
Become a Sponsor or Exhibitor
Connect With Key Prospects
This conference is your opportunity to meet executives and practitioners responsible for their firm's regulatory compliance program, including Chief Compliance Officers, compliance executives, legal counsel, and audit executives.
Exhibitor fee: $4,800 (add $1,000 after February 18, 2015) The exhibit area will host the conference reception on Wednesday evening, breakfast each morning, lunch on Thursday, and extended breaks on Thursday and Friday. Space is limited to tabletop displays or similar-sized displays. Each exhibiting organization will receive:
Two full-conference registrations (total value $2,290). Additional staff members can register at the member rate of $1,145 per person before February 18, 2015. After February 18, 2015, an additional $150 will be added to the registration fee.
One-time use of attendee mail/email list. We will send you a registrant list 3 weeks prior to the conference and the attendee list after the conference.
Listing in the onsite conference program.
Hyperlinked logo and description on the LIMRA and LOMA conference web pages.
Listing on service providers flyer included in attendee packets.
Recognition on general session walk-in slides.
6-foot skirted table with electrical outlet.
Sponsorship Opportunities
Platinum Sponsorship
General Session Speaker
Reception Sponsor
Luncheon Sponsor
Hot Breakfast Buffet
Platinum sponsorship includes:
Invitation for 2 company representatives to attend the private Chief Compliance Officer Breakfast and Lunch.
Registration for a total of 4 company representatives. Additional personnel can be registered at the rate of $1,145 per person. The individuals will be officially registered and listed as delegates and invited to attend all conference events.
One exhibit booth space in a premium location with one electrical outlet. The exhibit area will host the conference reception on Wednesday evening, breakfast each morning, lunch on Thursday, and extended breaks on Thursday and Friday.
Recognitions during the conference, including appearing in the conference program (sponsorship must be paid no later than February 18, 2015 to appear in the program).
Signage recognizing sponsorship at sponsored event. Collateral distribution at sponsored event.
Inclusion of a one-page flyer or small promotional item in all attendee packets.
One-time use of attendee email/mail. We will send you a registrant list 3 weeks prior to the conference and the attendee list after the conference.
Your hyperlinked logo and description on the LIMRA and LOMA event web pages.
General Session Speaker sponsorship includes the opportunity to introduce the speaker.
Gold Sponsorship
Conference Bag Sponsorship
Mobile Program Sponsorship
WiFi Sponsorship
Continental Breakfast
Gold sponsorship includes:
Invitation for 1 company representative to attend the private Chief Compliance Officers Breakfast and Lunch.
Registration for a total of 3 company representatives. Additional personnel can be registered at the rate of $1,145 per person. The individuals will be officially registered and listed as delegates and invited to attend all conference events.
One exhibit booth space in a premium location with one electrical outlet. The exhibit area will host the conference reception on Wednesday evening, breakfast each morning, lunch on Thursday, and extended breaks on Thursday and Friday.
Recognitions during the conference, including appearing in the conference program (sponsorship must be paid no later than February 18, 2015 to appear in the program).
Signage recognizing sponsorship at sponsored event. Collateral distribution at sponsored event.
Inclusion of a one-page flyer or small promotional item in all attendee packets.
One-time use of attendee email/mail list. We will send you a registrant list 3 weeks prior to the conference and the attendee list after the conference.
Your hyperlinked logo and description on the LIMRA and LOMA event web pages.
Conference Bag Sponsorship: Company name/logo on bag.
Conference Materials Organizations not exhibiting or sponsoring may provide us with branded item(s) for inclusion in the attendee packets. You can provide pens, pads, Post-It Notes, luggage tags, or highlighters. If you have an item that is not listed that you would like to provide, please contact us to discuss.
To create a sponsorship or exhibitor package to optimize your participation, please contact Jim Haggerty at 770-984-6448 or jhaggerty@loma.org
