Partner George Canellos participated on a panel titled, "Investment Banking and Capital Markets Enforcement Issues and Developments," at the 2022 Security Industry and Financial Markets Association ("SIFMA") C&L annual seminar.James Meadows, Head of Litigation, Barclays, moderated the discussion featuring Mr. Canellos alongside Shanda Hastings, Senior Lead Counsel, Wells Fargo, Mei Lin . Since we couldn't all tag along, they brought back some key takeaways to help our entire audience elevate their compliance program this year. SIFMA MenuClose Advocacy & Resources About Events For Members Join SIFMA Invested in America. 2017 SIFMA Survey Results The C-Suite and Compliance IPC® surveyed many of the SIFMA C&L 2017 Annual Seminar attendees for new insights on the compliance issues their firms are facing and the investments in compliance-related technologies they are making. SIFMA C&L Regional Seminar: St. Louis • • Business • One News Page: Wednesday, 8 June 2022 Join us on March 20-23, 2022 live and in-person to reconnect with colleagues, earn CLE credits and immerse yourself in three days of substantive programming - all in a carefully planned experience at Grande Lakes in Orlando. Top Takeaways from the SIFMA C & L Annual Seminar Recently, two lucky colleagues got to travel down to beautiful Florida to attend the SIFMA C & L Annual Seminar. Please remember that pre-registration is required to participate; onsite registrations will not be accommodated. The. Full-Time. More than 81% of our survey respondents hold C-level positions in their firms or . "On behalf of the C&L Society, it is my pleasure to announce Jackie and Chris as our inaugural recipients of the SIFMA C&L Society's DEI Advocate Award," said Michelle Oroschakoff, President, SIFMA C&L Society. Events. Add To Watchlist. SIFMA's mission is to support a strong financial industry, investor opportunity, capital formation, job creation and economic growth, while building trust and confidence in the financial markets. SIFMA essentials. Contact Us. SIFMA's Compliance & Legal Seminar is the preeminent meeting place for compliance and legal professionals from across the financial services industry. . sifma settlement calendar 2021. Speaking Engagement. As a Vice President at SIFMA, Zach assists the trade association's strategy development and engages members (investment banks, broker-dealers, asset managers, and service providers) in . Greenberg Traurig is sponsoring the 2022 Securities Industry and Financial Markets Association Compliance & Legal Society Annual Seminar taking place March 20 - March 23 in Orlando, Florida. SIFMA Seminar (General Assembly) - Enforcement Priorities Panel. Related Posts. Topics will include: Corporate and Investment Bank Current Issues; Current Issues in Wealth Management & Investment Advisory; Washington Update; Sales & Trading; Hot Topics in Compliance; Ethics; and . Partner George Canellos participated on a panel titled, "Investment Banking and Capital Markets Enforcement Issues and Developments," at the 2022 Security Industry and Financial Markets Association ("SIFMA") C&L annual seminar.James Meadows, Head of Litigation, Barclays, moderated the discussion featuring Mr. Canellos alongside Shanda Hastings, Senior Lead Counsel, Wells Fargo, Mei Lin . Orlando, Florida. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association. Contents. 93222, 86 FR 55671 (October 6, 2021). Tracy Gerber, Shareholder and Co-Chair of the Broker-Dealer Securities Litigation Practice, will moderate the "Ask FINRA: A Panel of Senior FINRA Officials . Panelist, "The Evolving Role of Legal and Compliance," SIFMA C&L 2012 Annual Seminar, March 2012 Panelist, "U.S. Broker-Dealer Roundtable," SIFMA C&L Annual Seminar, March 2011 Reviewing Enforcement Actions of the SEC, "States and SROs Concerning Broker/Dealers and Investment Banks," The 4th IQPC Securities Litigation Conference . l membe or f the Globa Financial l Markets Associatio (GFMA)n Fo. An independent 501(c)3 educational organization dedicated to fostering knowledge of the financial markets, serving nearly 20 million students since 1977. What Regulators are Saying 2017 | June 28 2017. The combined businesses of SIFMA's members represent 75% of . Stock Market Game ™ An online simulation of the global capital markets that engages students grades 4-12 in the world of economics, investing and personal finance and . . Join Bates Group at the SIFMA C&L Luncheon, June 15th in NYC, featuring Raymond Dorado, Senior Deputy Superintendent - Banking Division, NYSDFS Bates Group is proud to sponsor the upcoming June SIFMA C&L luncheon program featuring Raymond "Ray" Dorado, Senior Deputy Superintendent - Banking Division, New York State Department of Financial Services. C&L Explore is an interactive way to virtually engage with sponsors. Contact Email kcavalli@sifma.org. Top 5 Takeaways 1. Twitter. SIFMA C&L Virtual Forum Addresses FINRA's 2021 Priorities for Private Client Firms Share Alert Financial Institutions Law Alert 07.30.2021 On July 20, 2021, SIFMA hosted a panel discussing key legal and regulatory issues for private client firms at SIFMA's 2021 C&L Virtual Forum. SIFMA is currently seeking an Associate, Conferences & Events. Since its inception in 2004, CHC has made over 5,000 Congressional matches with schools, encompassing more than 125,000 students across the country. For more information, visit www.sifma.org . RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms. Securities Industry and Financial Markets Association. ronald jay slim williams net worth; tom rennie grumpy pundits. New York, NY. Selected Topics: Conference Panel Roundup: 3; SIFMA Seminar - Trading panels - Equity, fixed-income, and municipal Securities. 17 For example, one commenter sought guidance WSH Challenges & Smart Solutions Webinar 2020. Phoenix, AZ. March 15-18, 2020 Orlando, FL. 3.1. "Their dedication, passion and hard work to push forth important DEI efforts within our industry is truly inspiring. Office 621 Square de Meeûs 37 1000 Brussels +32 2.791.7571. The SIFMA Foundation. My SIFMA Create New User Account Your name, e-mail address, and choice of password are enough for us to create an account and allow you to sign in next time. York and Washington, D.C., is the U.S. regional member of the Global Financial Markets . C&L Explore is a fun way to ensure you make the most out of your virtual experience and enter for a chance to win big prizes! SIFMA regularly participates in challenges to SRO rules as being contrary to the Exchange Act. "As companies across industries try to comply . The SIFMA Foundation. Hugh Conroy spoke on a panel titled, "Current Issues in Bank Regulation," Joon Kim spoke on a panel titled, "Litigation Update: Regulatory and Criminal," Meredith Kotler spoke on a panel titled . Events. 8 February, 2022. CLE credits will be available. 4 15 U.S.C. For 52 years, SIFMA's C&L Annual Seminar has served as the preeminent event for compliance and legal professionals working in financial services. The Securities Industry and Financial Markets Association invites you to Orlando, Florida for its Compliance and Legal Society Annual Seminar. Howard Kramer of our Broker-Dealer Advisory & Counseling Practice will be a featured speaker at the SIFMA C&L Virtual Forum (July 20-22). The SIFMA C&L Society's 47th Annual Seminar is the premier event for Financial Services compliance and legal professionals, and features over 65 informative panels. Innovations for Smarter Safer FM Webinar 2021. Accessibility Thank you. ISO 41001 Workshop for the Facility Management Sector. SIFMA offers two membership options based on your position within the industry. For more details about this year's Challenge, visit . Join SIFMA. The Commission designated December 7, 2021 as the date by which . 78s(b)(2). [4] If issuers begin to use Rule 506 (c) offerings with increasing frequency, SIFMA's guidance in the Memorandum may be an important guidepost for broker-dealers and investment advisers and other . SIFMA is the leading trade association for broker-dealers, investment banks and asset managers operating in the U.S. and global capital markets. An independent 501(c)3 educational organization dedicated to fostering knowledge of the financial markets, serving nearly 20 million students since 1977. By Anthony Cresci January 3, 2022 No Comments . It's good to be here at the annual meeting of the Securities Industry and Financial Markets Association — what we all know as SIFMA. SIFMA Municipal Swap Index Yield. On behalf of our industry's nearly 1 million employees, we advocate for legislation, regulation and business . SIFMA's C&L 2017. SIFMA is the leading trade association for broker-dealers, investment banks and asset managers operating in the U.S. and global capital markets. Morgan Lewis is proud to sponsor SIFMA's Compliance & Legal Virtual Forum 2021. , with office isn New York and Washington, D.C. is, the U.S regiona. SIFMA Initiative. Live Event. Contact SEC Office of Public Affairs, 202-551-8945 Past participants have had a front-row seat to hear Madeline Albright discuss negotiating tactics and diplomacy, SEC Chair Jay Clayton . Freshfields will be sponsoring SIFMA's 2022 Compliance & Legal Annual Seminar, taking place March 20-23 in Orlando, Florida. . L&C IDX Expo Asia FIA-SIFMA AMG Webinars All Events. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA). Stock Market Game ™ An online simulation of the global capital markets that engages students grades 4-12 in the world of economics, investing and personal finance and . The SIFMA C&L Society Regional Seminar in New York City will feature presentations by leading securities regulators and industry professionals. SIFMA is a member of the GFMA Alliance. 8 June, 2022. 29 May, 2022. sifma settlement calendar 2021. We advocate on effective and resilient capital markets. IDX. OVERVIEW For 52 years, SIFMA's C&L Annual Seminar has served as the preeminent event for compliance and legal professionals working in financial services. It is the voice of the U.S. securities industry, and it advocates for effective and resilient capital markets. SIFMA C&L 2016 will probably be a platform where a lot of critical topics will be discussed. On behalf of our industry's nearly 1 million employees, we ad-vocate on legislation, regulation and business policy, affecting retail and institutional investors, equity and SOURCE Securities . . Joon spoke on the panel, "Litigation Update: Collusion, Manipulation, and Deceptive Trading Practices"; Victor spoke on the panel, "Litigation Update: Regulatory and Criminal"; and Colin spoke on the panel, "Legal and Compliance Considerations for CFTC . On behalf of our industry's nearly 1 million employees, we advocate for legislation, regulation and business policy affecting retail and institutional investors, equity and fixed income markets and . In 2017, SIFMA, ICI and DTCC led the effort to shorten the U.S. securities settlement cycle to T+2. EVENT: Global RegTech Summit 2022. Protiviti Director, Tom McQuade will participate in an industry panel focusing on cross over issues between the bank and broker-dealer and particularly impact of bank regulations on the offering of bank products through the broker-dealer channels. SIFMA - What does SIFMA stand for? Throughout the three-day program, participants hear directly from industry leaders and regulators on the latest developments and trends and build professional relationships to collaborate better. Phone Number (212) 313-1200. For more than half a century, SIFMA's Compliance & Legal Annual Seminar has been the preeminent meeting place for compliance and legal professionals in the financial services industry. Socialized Industrial Forest Management Agreement. Similarly, moving to T+1 will be a significant . SIFMA's C&L Society is the leading forum for compliance and legal professionals working in the financial services industry. SIFMA represents firms of all sizes in all financial markets in the U.S. and around the globe. SIFMA is the voice of the nation's securities industry, bringing together the shared interests of hundreds of broker-dealers, banks and asset managers. About RegEd. SIFMA, ICI and DTCC Previously Led Transition from T+3 to T+2. SIFMA. On July 20, 2021, SIFMA hosted a panel discussing key legal and regulatory issues for private client firms at SIFMA's 2021 C&L Virtual Forum. Don't miss your opportunity to engage with leading experts and discuss the latest regulatory developments and industry trends. Register here! "For more than 50 years, SIFMA's C&L Annual Seminar has enabled compliance and legal professionals in the financial services industry to engage and discuss regulatory issues with industry-leading experts," says Polizzotto, who is also the former General Counsel - Americas at Deutsche Bank. SIFMA is the voice of the nation's securities industry, bringing together the shared interests of hundreds of broker-dealers, investment banks and asset managers. Upcoming Events SIFMA C&L Virtual Forum Sept. 23, 2020 | 12:55 pm ET Senior Policy Advisor Robert Marchman will participate in a panel titled, "Meaningful, Measured Impact in Diversity and Inclusion" at the SIFMA C&L Virtual Forum. SIFMA is the leading trade association for broker-dealers, investment banks and asset managers operat-ing in the U.S. and global capital markets. EVENT: Cisco Live. ABOUT SIFMA. That multi-year effort required significant coordination across the industry and spanned multiple operations, functions and regulations. 15 SIFMA Letter at 1. SIFMA C&L Regional Seminar: St. Louis • • Business • One News Page: Wednesday, 8 June 2022 Sign Up. Follow Us. 2.4. suggest new definition. 20-1470 (D.C. Understand SIFMA's business objectives and work closely with SIFMA members and SIFMA staff to execute timely, educational events. IDX. Meaning. Once you have signed into the site, you will be able to open your profile page and provide the additional information necessary to build a full user profile. SIFMA C&L Annual Seminar. . Presented by SIFMA March 25, 2019 Christian T. Kemnitz, co-head of the firm's Financial Services Litigation practice, will serve as a panelist for "MB: Investment Banking and Capital Markets Enforcement Issues and Developments," a session at 12:15 p.m. (MT) during the SIFMA C&L Annual Seminar on Monday, March 25. SIFMA Foundation is seeking an Executive Assistant & Board Liaison. SIFMA is listed in the World's largest and most authoritative dictionary database of abbreviations and acronyms. Location: Grande Lakes, Orlando, Florida. The Executive Assistant will report to the President of SIFMA Foundation and serve as the administrative liaison to the Board of Directors. Washington, D.C., June 8, 2022 - SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr. on comments from SEC chair Gary Gensler on equity market structure reform: "SIFMA has long called for a review of equity market structure, having previously presented recommendations designed to enhance the current structure to the SEC and Congress in 2013, 2014 and 2017.