Tag Archives: SIFMA

SIFMA – AICPA and SIFMA FMS National Conference on the Securities Industry

Join senior executives and regulatory policymakers at The National Conference on the Securities Industry this fall to examine the latest developments in evolving securities regulations, auditing and accounting requirements. Hosted by the American Institute of Certified Public Accountants (AICPA) and the SIFMA Financial Management Society (SIFMA FMS).

SIFMA – Global Corporate Actions Forum

The Global Corporate Actions Forum brings together operations and technology professionals from broker-dealers, banks, asset managers, service providers and clearing firms to discuss the latest regulations, challenges, best practices and emerging technologies affecting Corporate Actions.

SIFMA – Fintech Conference

SIFMA’s Fintech Conference brings together innovators, industry leaders and policymakers in New York City to discuss the emerging fintech evolution and how existing regulatory frameworks can accommodate new transformative technologies.

SIFMA – Compliance & Legal Society Charlotte Regional Seminar

The C&L Society Charlotte Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas.

SIFMA – Equity Market Structure Conference

The SIFMA Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join market structure leaders in New York to discuss recommendations and actionable changes to enhance fairness, stability and transparency in the U.S. stock market

AICPA and SIFMA FMS National Conference on the Securities Industry

Join senior executives and regulatory policymakers at The National Conference on the Securities Industry this fall to examine the latest developments in evolving securities regulations, auditing and accounting requirements. Hosted by the American Institute of Certified Public Accountants (AICPA) and the SIFMA Financial Management Society (SIFMA FMS).

SIFMA Annual Meeting

Each fall, SIFMA’s Annual Meeting gathers in Washington, D.C. for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Mark your calendar to join us on October 1-2, 2018 at the Mandarin Oriental, Washington DC for expert insights and unparalleled networking with the foremost policymakers, regulators and financial market experts.

Equity Market Structure Conference

SIFMA Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join equity market structure leaders in New York to discuss recommendations and actionable changes to enhance fairness, stability and transparency in the U.S. stock market.

SIFMA C&L Annual Seminar

SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. Celebrating its 50th anniversary, the 2018 Annual Seminar provides a unique opportunity for industry leaders and regulators to gather for three-days of information sharing, collaboration and networking. Throughout the program, participants will hear from the industry’s … Continue reading SIFMA C&L Annual Seminar

SIFMA Social Media and Digital Marketing Seminar

SIFMA’s Social Media Seminar is the leading forum for Business, Marketing and Compliance professionals in Wealth Management to explore how to maximize the use of social media platforms while adhering to an ever-changing compliance framework. The 2018 program will feature discussions with the leading names in social media and experts in financial services. Panelists and … Continue reading SIFMA Social Media and Digital Marketing Seminar

Listed Options Symposium

SIFMA’s Listed Options Symposium brings together industry leaders, representing various roles across the market segment, for in-depth discussions on the state of the options market, and the challenges and opportunities facing investors and market participants. Participate in-person in New York City or via webcast.

SIFMA FMS Fundamental Training Securities Operations

The session will cover the life-cycle of a trade from booking through its accounting on books and records. The session will also cover control environments around securities operations and will be aimed at junior Operations and Finance members as a way to show how the trade life cycle relates to regulatory and financial reporting. Pillars … Continue reading SIFMA FMS Fundamental Training Securities Operations

SIFMA’s Annual Meeting – The Capital Markets Conference

SIFMA’s Annual Meeting returns to Washington, D.C. this fall for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Join SIFMA for expert insights and unparalleled networking with the foremost policymakers, regulators and financial market experts.  Registration information and details can be found here.

SIFMA FINTECH Conference

SIFMA’s FinTech Conference will bring together innovators and industry leaders to discuss the latest developments in robo advising, robotics, artificial intelligence, machine learning and blockchain experiments – and how these developments are changing the way firms understand and interact with their customers, manage risk, and run their operations. The impact of FinTech on the securities … Continue reading SIFMA FINTECH Conference

SIFMA Equity Market Structure Conference

SIFMA  Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join equity market structure leaders in New York to discuss recommendations and actionable changes to enhance fairness, stability and transparency in the U.S. stock market.

SIFMA’s Listed Options Symposium

SIFMA’s Listed Options Symposium is a New York City event that brings together industry leaders representing retail, market makers and institutional participants, as well as exchange and regulatory experts. Join us on November 3rd for a discussion on the state of the options market, and the challenges and opportunities facing this important market segment.

AICPA & SIFMA 2016 National 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, provides essential updates on evolving securities regulations and compliance requirements. Hear from senior executives and regulatory policy-makers on October 19-20 in NYC as they discuss: A chief executive’s view of the securities industry Industry developments … Continue reading AICPA & SIFMA 2016 National Conference on the Securities Industry

SIFMA’s 13th Annual Global Corporate Actions Forum

Join SIFMA’s Corporate Actions Section for the 13th annual Global Corporate Actions Forum  in Boston. Connect with fellow industry professionals and hear from leading subject matter experts as they examine the latest challenges, regulations, and practices affecting the Corporate Actions community. This annual event provides valuable information on managing risk and improving processes, including: U.S. and … Continue reading SIFMA’s 13th Annual Global Corporate Actions Forum

SIFMA’s Next Gen Financial Advisors Seminar

SIFMA’s  Next Generation of Financial Advisors Seminar provides an opportunity for industry professionals to gather and discuss industry solutions to recruiting and training the next generation of financial advisors. Speakers and panelists will discuss innovative ideas and tactical approaches, including: Enhancing education: How can the industry increase college and university offerings to create a buzz … Continue reading SIFMA’s Next Gen Financial Advisors Seminar

SIFMA 2016 Annual Meeting

SIFMA’s 2016 Annual Meeting By popular demand, SIFMA’s Annual Meeting will return to our nation’s capital this fall for candid one-on-one conversations, in-depth breakout sessions and expert insights on the state of our capital markets and how we can retain their well-deserved reputation as the best in the world.  

SIFMA Compliance & Legal Society Regional Seminar

Join SIFMA members at the C & L Society Regional Conference on August 4 hosted at the Charles Schwab Conference Center in San Francisco. This one day seminar will feature presentations by leading securities regulators and industry professionals. The Charles Schwab Center is located at 211 Main Street, San Francisco, CA 94105. Discussion topics will include: A Discussion … Continue reading SIFMA Compliance & Legal Society Regional Seminar

SIFMA’s Archiving, Surveillance, & Regulatory Data Management Luncheon

Deloitte and SIFMA invite you to participate in a luncheon on June 28, 2016 at SIFMA’s Conference Center in New York City. The growing need to comply with regulatory requirements is creating additional strain on the industry’s ability to effectively archive and manage firm data when using outdated systems. Currently, firms face many challenges, including: … Continue reading SIFMA’s Archiving, Surveillance, & Regulatory Data Management Luncheon

SIFMA releases 2015 Securitization Year in Review

The Securities Industry and Financial Markets Association (SIFMA) recently released its annual U.S Securitization Year in Review report.  The report offers a consolidated review of the U.S securitization markets in 2015 and is comprised of two sections. The first section captures various securitization market trends, statistics and market activity for 2015. The second section contains summaries … Continue reading SIFMA releases 2015 Securitization Year in Review

SIFMA’s Anti-Money Laundering & Financial Crimes Conference

Celebrating its 16th year, SIFMA’s C&L Anti-Money Laundering & Financial Crimes Conference gathered more than 400 compliance and legal professionals from April 5-6 at the Marriott Marquis in New York City. Our new two-day  program featured practical insights from FINRA’s Bradley Bennett, Executive Vice President, Enforcement; Treasury’s Jennifer Fowler, Deputy Assistant Secretary for Terrorist Financing; … Continue reading SIFMA’s Anti-Money Laundering & Financial Crimes Conference

SIFMA 2016 Compliance & Legal Annual Seminar

Registration is now open for the SIFMA 2016 Compliance & Legal Society Annual Seminar on March 13–16 at the Hilton Orlando Bonnet Creek. Compliance and legal professionals participate in SIFMA’s our interactive program with more than 65 dynamic panels and sessions that focus on the current regulatory and legal developments impacting the industry.

SIFMA Securities Industry Institute Program

The Securities Industry Institute, SIFMA’s premier executive education program held in partnership with The Wharton School, is being offered March 6 – 11, 2016.

The program provides access to world-class faculty from Wharton and other leading universities and exposure from industry experts in the latest trends in the industry, prepares you for the uncertain shifts in the market, provides networking opportunities that enable you to build your network, business and perspective, and you will receive a SIFMA/Wharton Certificate upon graduation.

SIFMA Cyber Insurance Webinar

Every financial firm has an obligation to be vigilant in our industry’s commitment to cybersecurity. As cyber attacks become more frequent and destructive, cyber insurance policies can offer critical protections to complement your risk management program.

SIFMA, FireEye, DeWitt Stern and ACE Group, a leading provider of cyber insurance, are providing a cyber insurance webinar to learn more about the current cybersecurity landscape and the SIFMA Cyber Insurance Program. Participants will be provided an opportunity for in-depth Q&A.

SIFMA Annual Meeting 2015

Leaders of the financial services industry will gather in the nation’s capital at the 2015 SIFMA Annual Meeting: The Capital Markets Conference to discuss  challenges and the ways the industry can continue to drive capital formation, job creation and economic growth. Click here for registration information.  

SIFMA Global Tax Reporting Symposium

The SIFMA Global Tax Reporting Symposium, providing in-depth perspective on financial services reporting and withholding in today’s global marketplace, will bring together industry and government experts to discuss three evolving tax compliance regimes: FATCA: Foreign Account Tax Compliance Act CRS: OECD Common Reporting Standard Section 871(m) of the Internal Revenue Code The symposium will explore … Continue reading SIFMA Global Tax Reporting Symposium

SIFMA’s Senior Investors Forum

SIFMA’s Senior Investors Forum: Serving the Needs of Our Aging Investors brings together advisors, regulators, compliance officers, attorneys and academic experts to discuss the innovative practices in place to ensure our aging clients are properly protected against those seeking to part them from their hard-earned savings and rob them of their retirement security. Currently, Americans … Continue reading SIFMA’s Senior Investors Forum

Volcker Rule Seminar

SIFMA’s Volcker Rule Seminar, on September 30th at the SIFMA Conference Center in New York City, will bring together experts from the industry, government and law firms to discuss the current compliance and enforcement issues post the July 21st compliance date.

SIFMA: T + 2 Symposium

Stephen Luparello, SEC Director of Trading and Markets, will deliver the keynote address at the T+2 Symposium: The Road to a Shortened Settlement Cycle, in NYC on Sept. 17. Senior operations, technology, legal and compliance, risk, and corporate actions professionals, as well as service providers and regulators, will discuss the industry’s progression from the selection … Continue reading SIFMA: T + 2 Symposium

Next Generation of Financial Advisors Seminar

The Next Generation of Financial Advisors Seminar will provide a forum to discuss the numerous opportunities to recruit and train the next generation of financial advisors. Speakers and panelists will discuss innovative ideas and tactical approaches, including: Enhancing Education: How can the industry increase college and university offerings to create a buzz around the profession … Continue reading Next Generation of Financial Advisors Seminar

SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens

Chairman and CEO of Stifel and member of the SIFMA Board of Directors, testified on behalf of SIFMA this week before the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises. Kruszewski noted the proposals under discussion are important and appropriate work to promote capital formation. They build upon the success of the … Continue reading SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens

SIFMA: Private Client Conference 2015

The SIFMA Private Client Conference is North America’s leading event designed specifically for financial professionals who service the individual investor. Register now to hear from top industry leaders on tactical ways to enhance client service, advice and trust to help investors achieve their financial goals. Why You Should Attend: STRONG INDUSTRY PRESENCE – Senior Wealth … Continue reading SIFMA: Private Client Conference 2015