Event

SIFMA Compliance and Legal Society’s Annual Seminar 2016

March 13, 2016 {ml-event-to} March 16, 2016

The SIFMA Compliance and Legal Society's 48th Annual Seminar is the premier event for Financial Services compliance and legal professionals, and features over 65 informative panels.

Promoting Diversity and Inclusion
Monday, March 14 | 11:55 AM – 1:10 PM
Grace Speights, Partner

Ask FINRA: A Panel of Senior FINRA Officials Respond to Your Questions
Tuesday, March 15 | 10:20 AM – 11:35 AM
Ben Indek, Partner

Private Client Sales Practice Issues
Tuesday, March 15 | 11:55 AM – 1:10 PM
Tim Burke, Partner

Investment Adviser Considerations for Retail
Tuesday, March 15 | 11:55 AM – 1:10 PM
Steve Stone, Partner

Fixed Income Sales and Trading
Wednesday, March 16 | 10:20 – 11:35 AM
Peter Chan, Partner

Private Client: Managing Regulatory Exams and Avoiding Enforcement Actions
Wednesday, March 16 | 11:50 AM – 1:05 PM
David Boch, Partner