Keynote by Michael Oxley: Connecting with our Global Business Future
Given the current credit crunch, subprime issues and volatility in the market, what is the outlook for businesses and the economy in 2008? Technology and regulations have changed the face of the financial world in the past five years.
Drawing upon his 25 years of distinguished service in the U.S. Congress, Mike Oxley will detail and analyze record retention issues, recent trends on the regulatory front, and emerging communications technologies, such as group chat, that will transform businesses in the future. He will also provide an insightful perspective on corporate corruption and the Sarbanes-Oxley Act, which he co-authored as Chair of the Financial Services Committee in the U.S. Congress in 2002.
- Subprime mortgage impact on the economy
- Future regulations
- Emerging collaboration/communications technologies
Wednesday, March 19, 2008
2:00 pm – 4:45 pm followed by networking reception
Le Parker Meridien Hotel
119 W. 56th Street (between 6
th and 7
th Avenues)
New York
Benefits of Attending
Who Should Attend
Executive Seminar Agenda
Regulations and Emerging Technologies in a Connected World
2:00 – 2:30
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Registration
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2:30 – 3:00
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Technology Demos
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3:00 – 3:30
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Keynote Speaker: Connecting with our Global Business Future
Michael Oxley - Former U.S. Congressman, former Chair of Financial Services Committee and co-author of the Sarbanes-Oxley Act
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3:30 – 4:45
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Panel discussion and Q&A
Mike Oxley
Frank Fanzilli - Independent business consultant and former CIO, Credit Suisse First Boston
Jennifer Connors - Global Head of Compliance, E*TRADE Brokerage Services
Salvatore Polletta - Global Product Manager of Chat and IM, UBS
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| 4:45 –6:00 |
Networking Reception
COCKTAILS & HORS D’OEUVRES
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Register online or call 631-864-0328
Speaker Biographies
Michael G. Oxley - Former U.S. Congressman and co-author, Sarbanes-Oxley Act
Mike Oxley served in the United States House of Representatives from the Fourth Congressional District of Ohio from 1980 to 2007. As chair of the Financial Services Committee of the U.S. Congress, he spearheaded many legislative achievements, including:
- the Sarbanes-Oxley Act to respond to the era of corporate corruption
- the Terrorism Risk Insurance Act to resolve the post-9/11 insurance crisis
- the anti-money laundering provisions of the USA PATRIOT Act to help track terrorist financing
- the FACT Act that brought consumers the free annual credit report
As the vice chairman of the Subcommittee on Telecommunications, Mr. Oxley was the father of the spectrum auction, which boosted business activity in the personal communication industry and raised $14.5 billion for the U.S. Treasury. After earning his law degree from The Ohio State University College of Law, he served as a Special Agent in the FBI.
Frank J. Fanzilli, Jr. – Independent business consultant and former CIO, Credit Suisse First Boston (CSFB)
Frank Fanzilli has served on the boards of directors of many public and private technology companies. Mr. Fanzilli is currently on the board of CommVault Systems, Inc., Interwoven, Inc. (where he is Chairman of the Strategy Committee), and the Linux Foundation, (where he is also the Treasurer). Recently, he was on the board of directors of Avaya Inc., until the completion of a successful sale to Silverlake and TPG. Mr. Fanzilli retired from active employment in March 2002. Prior to his retirement, Mr. Fanzilli spent 17 years at Credit Suisse First Boston (now Credit Suisse), where he became Managing Director and Global Chief Information Officer. Prior to joining Credit Suisse First Boston, Mr. Fanzilli was an engineer with IBM. Mr. Fanzilli obtained his bachelor's degree in management, cum laude, from Fairfield University and his master's in business administration, with distinction, from New York University.
Jennifer Connors - Global Head of Compliance, E*TRADE Brokerage Services
As Global Head of Compliance, Jennifer Connors is responsible for the oversight of registered broker-dealers, investment advisers and mutual funds throughout the U.S., Europe and Asia. Ms. Connors has worked extensively with emerging technologies utilized by broker-dealers, including Electronic Communications Networks, Alternative Trading Systems, and proprietary and vendor-provided Order Management Systems. Prior to joining E*TRADE Financial, Ms. Connors served Lehman Brothers as Senior Vice President responsible for all aspects of the Compliance Program of the U.S. Equities Division of the company. Prior to Lehman, she was the Head of Global Compliance and Associate General Counsel of ITG Inc., an institutional broker-dealer. Ms. Connors has also held global compliance and legal positions with Nomura Securities International, Inc., Bank of New York ESI, Inc. and PaineWebber Inc. She is active in various securities industry groups, including the NASD (now FINRA) District 10 Committee, where she serves as Chair. She earned a JD from Fordham Law School after graduating summa cum laude from SUNY Albany.
Salvatore Polletta - Global Product Manager of Chat & IM, UBS
Sal Polletta is responsible for chat and instant messaging products and strategy at UBS, which has been using group chat since the late 1990s. He started at UBS in 2001, as a developer of real-time IT monitoring and reporting systems. Since joining the Chat and IM team at UBS in 2003, Mr. Polletta has been responsible for engineering, architecture and regulatory compliance. Prior to UBS, he was a software engineer at a U.S. defense contractor. He is a graduate of the University of Connecticut with a degree in Computer Science and Engineering.
Benefits of attending
In this executive seminar, you’ll learn:
- The impact of subprime mortgage issues on the economy
- What important new technologies are emerging
- How emerging technology and communications methods are giving companies a leading edge
- The outlook for regulations on businesses
- How to provide efficient and compliant corporate communication tools with Enterprise IM and Group Chat
- How the globalization and integration of capital markets impacts your business
Who should attend
- Senior executives
- CIOs
- Chief Compliance Officers
- Chief Legal Officers
across all industries, from financial services to law firms and high technology.
Learn More – IT Compliance Solutions from mindSHIFT
Additional Resources
Sarbanes-Oxley Act
IT Compliance