Loading Events

« All Events

  • This event has passed.

SIFMA Compliance and Legal Society San Francisco Regional Seminar

August 6, 2014

C & L Regional Seminar:  August 6, 2014 –  Charles Schwab Convention Center – San Francisco

We cordially invite you to attend the SIFMA Compliance & Legal Society San Francisco Regional Seminar to be held at Charles Schwab on Wednesday, August 6th, 2014. This one day seminar will feature presentations by leading securities regulators and industry professionals.

The full-day seminar will cover:

  • The Changing Face of AML – Current Developments and Regulatory Expectations
  • Are you at Risk? Mitigating Personal Risk for Compliance Officers
  • Staying Ahead of the Curve – SEC, State & FINRA Exam Priorities
  • Trading Hot Topics – Regulatory & Litigation Risks
  • Litigation & Arbitration Developments

The Charles Schwab Conference Center is located at 211 Main Street.


August 6, 2014
Copyright© 2024 The LeGaye Law Firm P.C.