Event Details


Minneapolis, MN | October 4, 2019

This full-day seminar will bring together federal and state regulators, industry insiders and Norton Rose Fulbright lawyers for in-depth discussions covering critical issues facing the financial services industry.


Time (CT) Session Speaker(s)
8:30 am – 8:45 am Opening remarks
8:45 am – 9:00 am Minnesota regulatory priorities
  • Steve Kelley, Commissioner of the Minnesota Department of Commerce
9:00 am – 10:00 am Financial Institutions: Law around the world — A special video panel discussing international issues affecting the financial services industry, including cross-border investigations, the LIBOR transition and Brexit.
  • Bill Leone, Co-Head of Dispute Resolution and Litigation, Norton Rose Fulbright, New York (Moderator)
10:00 am – 10:15 am    Networking break  
10:15 am – 11:15 am Impact of Reg BI, related state regulations and proposed revisions to Suitability in Annuity Transactions Model Regulation
  • Nicole James Gilchrist, Senior Counsel, Thrivent Financial
  • Kristine Lord-Krahn, Vice President, Deputy General Counsel, Allianz Life Insurance Company of North America
  • Eric Marhoun, General Counsel, Executive Vice President & Secretary, Fidelity & Guaranty Life Insurance Company 
  • Doug Ommen, Iowa Insurance Commissioner and Chair, NAIC Working Group
  • Julie Firestone, Senior Counsel, Norton Rose Fulbright, Minneapolis (Moderator)
11:15 am – 12:15 pm State and federal regulatory update
  • R. Scott DeArmey, District Director, FINRA
  • Steve Kelley, Commissioner of the Minnesota Department of Commerce
  • Joel R. Levin, Director, Chicago Regional Office, SEC
  • Doug Ommen, Iowa Insurance Commissioner and Chair, NAIC Working Group
  • Kevin Harnisch, Head of Regulation, Investigations, Securities and Compliance - US, Norton Rose Fulbright, Washington, DC (Moderator)
12:15 pm – 1:00 pm Lunch
Lunch speakers – Financial institutions litigation trends and Washington update
  • Prof. Richard Painter, University of Minnesota School of Law
  • Samuel R. Ramer, Partner, Norton Rose Fulbright and former White House Senior Counsel, Washington, DC
1:00 pm – 1:15 pm Setting the stage: Commerce and national security
  • Mike Ott, President, Metro Wealth Management, US Bank; Senior Advisor, Defense Innovation Unit
1:15 pm – 2:15 pm Domestic and international perspectives on FinTech regulation
  • Jim Fiebelkorn, Vice President, Global Anti-Money Laundering Officer, AML & Anti-Fraud Compliance, Ameriprise Financial
  • Andrew Lom, Partner, Norton Rose Fulbright, New York (Moderator)
2:15 pm – 2:30 pm Networking break  
2:30 pm – 3:30 pm Cybersecurity and data privacy
  • Kathleen Koelling, Vice President and Deputy General Counsel, Thrivent Financial
  • Kari Kouatli, Senior Counsel, Allianz Life Insurance Company of North America
  • Steven B. Roosa , Head of NRF Digital Analytics and Technology Assessment Platform, United States, Norton Rose Fulbright, New York (Moderator)
3:30 pm – 4:30 pm The aging professional and the institution: Ethics or Elimination of Bias
  • James Browning, Deputy General Counsel, Stifel
  • Christine Esckilsen, Chief Human Capital Officer, Piper Jaffray
  • Uzma Samadani, PhD, MD, Department of Neurosurgery, University of Minnesota Medical School
  • Barbara D'Aquila, Partner, Norton Rose Fulbright, Minneapolis (Moderator)
4:30 pm – 7:00 pm Networking reception  


Continuing education information

Application has been made for Continuing Legal Education (MCLE) credits with the State Bars of MN, NY, NE, CO and WI in the amount of 7.0 hours including 1.0 hour of ethics or elimination of bias credit. If you have questions regarding CLE approval of this course in another state, please contact your bar administrator.