“Private Client: Managing Regulatory Exams and Avoiding Enforcement Actions”, Panelist, SIFMA Compliance and Legal Society, 2016 Annual Seminar

Event Date(s): 03/13/2016 - 03/16/2016

Celebrating its 48th year, SIFMA's C&L Annual Seminar gathered almost 2,000 compliance and legal professionals from March 13-16 at the Hilton Orlando Bonnet Creek. This critical forum provides an opportunity for legal and compliance leaders and regulators to come together to educate each other and share their respective expertise and insight with the goal of making our capital markets the most fair, transparent and ethical in the world.

Over this three-day event, attendees heard from some of the industry's biggest names as well as participated in more than 65 breakout sessions that drew from more than 100 organizations – member firms, law firms, regulators, academics and others – and covered core and emerging topics.

Event Link: http://www.sifma.org/cl2016/