Event

AICPA and SIFMA Financial Management Society Conference on the Securities Industry

October 14, 2015 {ml-event-to} October 15, 2015

Partner Ben Indek will moderate a panel at the AICPA and SIFMA Financial Management Society Conference on the Securities Industry.

The National Conference on the Securities Industry, hosted by the American Institute of CPAs (AICPA) and SIFMA’s Financial Management Society, will provide essential updates on evolving securities regulations and compliance requirements.

Hear from senior executives and regulatory policy-makers as they discuss:

  • A chief executive’s view on the securities industry
  • Risks including funding and liquidity, cybersecurity and compliance enforcement
  • An analyst’s view of the banking and securities industries
  • Recent and pending accounting and auditing pronouncements
  • Feedback from the PCAOB on inspections of broker-dealer audits

The conference will hold an open Q&A session with representatives from the SEC, FINRA and CFTC. CPE credits will be available for this conference.

October 15, 2015 | 9:00–9:50 am
View from the FINRA CEO

Moderator
Ben Indek, Partner – Morgan Lewis

Panelist
Richard G. Ketchum, Chairman and Chief Executive Officer - FINRA