The SIFMA Podcast

In this episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. is joined by Lisa Kidd Hunt, Executive Vice President, International Services, for Charles Schwab & Co., Inc., for a discussion on the rise of Generation Investor (Gen-I) and the findings from Schwab’s new investor survey.

In this episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Carey Shuffman, Head of UBS’s Women’s Segment, for a discussion on the unique trends and approaches to serving women investors. For a transcript and more, visit https://www.sifma.org/resources/news/podcast-wealth-management-leadership-series-carey-shuffman/

In this first episode of our Wealth Management Leadership podcast series, SIFMA President & CEO Kenneth E. Bentsen, Jr. sits down with Northwestern Mutual Wealth Management Company President & CEO Evamarie Schoenborn for a discussion about how the firm’s use of advisory teams has enhanced the advisor-client relationship. For a transcript and more, please visit https://www.sifma.org/resourc...

In this episode of SIFMA's Diversity, Equity & Inclusion Podcast Series, SIFMA's Amena Ross sits down with Cetera's Chantalle Couba to explore the journey to excellence in business, sharing insights on the courage and grit it takes to create a culture of diversity, equity and inclusion.

The Fundamental Review of the Trading Book (FRTB) was initiated by the Basel Committee on Banking Supervision in the years following the 2007-2009 financial crisis with the aim of completely revising the approach of calculating risk-based capital requirements for trading activities. In this podcast, SIFMA’s Peter Ryan, Head of International Capital Markets and Prudential Policy, sits down with Jos...

International trade and investment in financial services is crucial to U.S. economic growth and job creation. In this podcast, SIFMA's Peter Matheson sits down with Citi's Kimberley Claman and EY's Douglas Bell to discuss why, in an increasingly competitive global economy, it is vital that financial services are integrated into the U.S. international economic strategy. For the white...

Moderated by Rudy Rodriguez, Vice President of Diversity and Inclusion at Ameriprise and Chair of SIFMA’s Diversity & Inclusion Council, this far-reaching discussion with Penny Pennington of Edward Jones and Suzanne Shank of Siebert, Williams, Shank & Co. explores how these leaders model a culture of inclusion from the c-suite. For transcript and more, please visit: https://www.sifma.org/r...

In this edition of SIFMA's Diversity, Equity & Inclusion (DEI) podcast series, SIFMA’s Amena Ross, Managing Director of Advocacy, sits down with Samuel A. Ramirez, Jr., President and CEO of Ramirez Asset Management and Senior Managing Director of Samuel A. Ramirez and Company, Inc. to understand how we can break down barriers and foster a culture of diversity, equity and inclusion.

It is abundantly clear that COVID-19 will have lasting impacts. In this podcast, SIFMA president and CEO Kenneth E. Bentsen, Jr. sits down with Nasser Khodri, President of FIS Capital Markets, to discuss the evolution of operational readiness and how to rebuild for resilience as we chart a path forward.

The face of the individual investor is changing. In part one of this two-part podcast, SIFMA president and CEO Kenneth E. Bentsen, Jr. sits down with Ken Cella of Edward Jones to discuss how financial advice is evolving alongside the changing investor and why it is more critical than ever to work with a financial advisor. In part two, Bentsen and Broadridge’s Dan Cwenar dive into the findings from...

In the latest in SIFMA’s podcast series, SIFMA president and CEO Kenneth E. Bentsen, Jr. is joined independent financial planning professional Steve Budin, the President of the Budin Group. During their conversation, Steve explains his work on behalf of his clients and community as an independent financial advisor, and why his independent contractor status is important to that work. A bill current...

In this podcast – originally published in March 2020 - Kenneth E. Bentsen, Jr., SIFMA’s President and CEO, and Kevin Carroll, SIFMA’s Managing Director and Associate General Counsel, discuss the long-standing securities arbitration system and the rather confounding animus toward it by some policymakers. They also dive more specifically into the FINRA arbitration forum, and the securities industry’...

In this edition of SIFMA's Diversity, Equity & Inclusion (DEI) podcast series, SIFMA’s Amena Ross, Managing Director of Advocacy, sat down with Gary Hall, Partner and Head of Investment Banking at Siebert Williams Shank & Co., to understand the meaning of DEI to the firm and how it prioritizes DEI in every facet of the business.

The Need for Federal Legislation in the LIBOR Transition by SIFMA

In this edition of SIFMA's Diversity, Equity & Inclusion (DEI) podcast series, SIFMA’s Amena Ross, Managing Director of Advocacy, sat down with Wendy John, Head of Global Diversity & Inclusion at Fidelity, to review how Fidelity is building a community with its employees as well as investing in diverse communities nationwide through its commitment to financial literacy.

In the latest in SIFMA’s podcast series, SIFMA president and CEO Kenneth E. Bentsen, Jr. is joined by Jason Plank, a financial planning professional on the independent platform with Ameriprise Financial in Edina, MN. During their conversation, Jason explains his work on behalf of his clients and community as an independent financial advisor, and why his independent contractor status is important t...

Explore how Goldman Sachs is seeks to address racial equity in the financial services industry and its work in back communities, with its clients, and within its own organization.

In the latest in SIFMA’s podcast series, SIFMA president and CEO Kenneth E. Bentsen, Jr. is joined by Ellen Greene, SIFMA managing director, equity and options market structure and Joe Corcoran, managing director and associate general counsel to talk about the current state of the Consolidated Audit Trail, or CAT.

SIFMA president and CEO Kenneth E. Bentsen, Jr. and CEO of the Global Financial Markets Association(GFMA)is joined by Allison Parent, Executive Director of GFMA, and Roy Choudhury, Managing Director and Partner at Boston Consulting Group (BCG), to discuss the new report GFMA wrote in collaboration with BCG, “Climate Finance Markets and the Real Economy: Sizing the Global Need and Defining the Mark...

In this podcast, SIFMA president and CEO Kenneth E. Bentsen, Jr. and managing director Tom Price discuss SIFMA’s new white paper on security tokens. The paper, which was co-authored by SIFMA and PricewaterhouseCoopers LLP, provides a foundational understanding of how distributed ledger technology (DLT) and digital assets such as security tokens interplay with the current securities market. It also...

For the second podcast in our D&I series, SIFMA’s Amena Ross, Managing Director of Advocacy, sat down with Jim Reynolds, Chairman & Chief Executive Officer of Loop Capital Markets LLC, to discuss the financial services industry, diversity and inclusion, and how building an intentional company culture can help recruit and retain diverse talent.

Melissa MacGregor, Managing Director and Associate General Counsel at SIFMA, sat down with Larry Bortstein, Founder of Bortstein Legal Group, and Lou Trotta, Senior Counsel at BLG, to talk about the new white paper SIFMA wrote in collaboration with Bortstein Legal Group, Navigating Regulatory Challenges in Cloud Infrastructure Services Agreements. For a transcript of this discussion and more, plea...

In this first podcast of our Diversity & Inclusion (D&I) series, SIFMA’s Amena Ross, Managing Director of Advocacy, sat down with Edward Jones’ Vanessa Okwuraiwe, Principal of Diversity and Inclusion, to talk about the future of the financial services industry and the innovative D&I programs at Edward Jones. The conversation also highlights the importance of creating a positive and mea...

COVID-19 has been unsparing in its impact around the globe, permeating nearly every aspect of our lives. Beyond the direct and severe effects on health and wellness, how we live and work has changed in ways many of us previously thought unthinkable. Business continuity planning, cybersecurity and operational resilience remain among the top agenda items in board rooms across the industry. Ken Bents...

In this podcast, Ken Bentsen, SIFMA President and CEO, along with Tom Price, managing director, and Charles DeSimone, vice president, both of whom work on SIFMA’s operations, technology, cyber & BCP efforts, provide an informative overview of the industry-wide business continuity test facilitated by SIFMA on October 24, 2020 and highlight its successful completion.