Government Affairs & Capital Market Outlook

Recorded On: 10/08/2021

11:00am – 11:50am ET: Government Affairs & Capital Market Outlook: Get an up-to-the-minute view from Washington on the policy issues and regulatory trends that could impact global capital markets in 2022 and beyond.

11:50am - 11:55am ET: Pop-Up Speaker


CPE INFORMATION:
NICSA is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

NICSA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

CPEs Earned: 1
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based
Advanced Preparation: None


CANCELLATIONS AND REFUNDS:
Due to this program being offered free of charge, there will be no refunds issued.

Questions or Cancellations: Please contact Jordan DeBettencourt at 508.683.1618.

Andy Blocker (Moderator)

Head of US Government Affairs, Invesco

Andy Blocker is Head of US Government Affairs at Invesco. In this role, he drives Invesco’s legislative and regulatory advocacy initiatives with policymakers, engages with clients and opinion leaders on public policy developments, and seeks to maximize the company’s political footprint.

Mr. Blocker joined Invesco in 2018. Prior to joining the firm, he served as executive vice president of public policy and advocacy for the Securities Industry and Financial Markets Association, where he led a team engaging lawmakers and regulators on international, federal, and state issues impacting the financial services industry. Before that, Mr. Blocker spent five years as managing director for UBS’ US Office of Public Policy, focusing on lobbying, client service, and education for individual and institutional clients. He also served as vice president of government relations for the New York Stock Exchange, as managing director of

government and international affairs for American Airlines, and for the White House as special assistant to the president for legislative affairs. Mr. Blocker began his career as a financial analyst for Bell Atlantic Corporation. He has appeared on CNBC, CNBC Asia, Bloomberg, and Yahoo! Finance.

Mr. Blocker earned a BA degree in economics from Harvard University and an MBA in international business from Georgetown University.

Jerry Jennings

Director, State and Local Government Relations, Citi

Jerry Jennings serves as Director for the New York/New Jersey/New England Region for Citi’s State & Local Government Relations team.  In this capacity, he manages the company's governmental relations strategy in New York, New Jersey, Connecticut, Massachusetts, Maine, New Hampshire, Rhode Island, and Vermont.  He has been a litigator and lobbyist for more than 25 years having joined Citi after many years as a partner at New York’s largest government affairs firm.  Jerry also served as the head of the firm’s Government Investigations and Contracts practice.

Jerry has represented client interests before legislative, executive and regulatory bodies in New York State and New York City for many years.  He has represented clients in licensing, applications, audit and disciplinary processes and proceedings and has defended clients faced with government subpoenas, inquiries and formal government investigations before the Attorney General's Office, Department of Labor, Department of Tax and Finance, Department of Financial Services and many others.  He has been directly involved in the lobbying, protest procedure and contract negotiations for a number of high stakes, high profile NYS contracts, two of which had total contract values of $600M and $1B.  Jerry has handled lobbying compliance and ethics matter for the firms he has been a partner with as well as clients of those firms.  In addition, he has counseled companies and candidates in election and campaign finance matters.

He began his career as a state prosecutor in Florida, handling thousands of matters, including a first degree murder, death penalty case with DNA and other scientific evidence. He has personally tried nearly 50 criminal and civil cases to jury verdict during his career.

Jerry is a graduate of Boston College (BA in Economics) and New England School of Law.

Alice Joe

Vice President, Government Relations, Fidelity Investments

Alice Joe is vice president, Government Relations for Fidelity Investments, a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and other financial products and service to more than 30 million individuals, institutions, and financial intermediaries. 

Since joining Fidelity in 2017, Ms. Joe has worked to align policy outcomes with the firm’s strategic objectives.  She has advocated on behalf of the firm’s interest in Washington on a range of legislative and regulatory policies before government officials.  Her areas of expertise include financial services regulation, retirement and education savings policy, and tax.  

Prior to joining Fidelity, Ms. Joe served as vice president of the U.S. Chamber of Commerce’s Center for Capital Markets Competitiveness (CCMC).  She also has extensive experience in the federal government, having served on the U.S. Senate Homeland Security and Government Affairs Committee as senior policy advisor to Sen. John McCain (R-AZ) and as professional staff member to Sen. Peter Fitzgerald (R-IL). She also served as deputy assistant secretary for policy of the Employee Benefits Security Administration at the U.S. Department of Labor, directing the policy, legislative and research functions of the agency that administers ERISA.  Prior to her government service, Ms. Joe held senior positions in private equity firms.

Ms. Joe has an M.B.A from Tulane University and a B.B.A. from Baylor University. She holds the Chartered Financial Analyst designation.

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Government Affairs & Capital Market Outlook
10/08/2021 at 11:00 AM (EDT)  |  Recorded On: 10/08/2021
10/08/2021 at 11:00 AM (EDT)  |  Recorded On: 10/08/2021
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Certificate
1.00 CPE Credits credit  |  Certificate available
1.00 CPE Credits credit  |  Certificate available