Private Client Enforcement Developments, SIFMA Compliance & Legal Society Annual Seminar

Event Date(s): 03/23/2022

The C&L Annual Seminar is hosted by SIFMA’s Compliance & Legal Society. Past participants have had a front-row seat to hear Madeline Albright discuss negotiating tactics and diplomacy, SEC Chair Jay Clayton outline priorities for the Commission, FINRA President and CEO Robert Cook delve into examinations and many more - plus access to Lunch & Learns, networking sessions, an interactive Exhibit Hall, Diversity, Equity & Inclusion events, and more.

More than 50 in-depth breakout sessions on the industry’s hottest topics in six tracks:

  • Banking
  • Ethics & DEI
  • Capital Markets
  • Litigation, Enforcement & Legal
  • Compliance & Technology
  • Retail, Private Client & Arbitration

Event Link: