The Securities Industry and Financial Markets Association (SIFMA) is an industry trade group representing securities firms, banks, and asset management companies. Throughout the year, SIFMA holds regional conferences for compliance and legal professionals working in the financial services industry to discuss the latest industry developments and trends in what is an increasingly complex and changing regulatory and compliance environment. Conference attendees share best practices and informative content and take advantage of focused networking opportunities.
Sidley partner Corin Swift will participate in a panel on “Best Practices for Supervision/Monitoring/Testing Programs,” which will explore surveillance strategies, risk assessment and testing, off-channel communications, and RSL and remote inspections pilot. Other panelists include Alex Ellenberg of FINRA, Tara Gilchrist of LPL, and Takako Okada of Charles Schwab, with Marla Moskowitz-Hesse of Wells Fargo moderating.
Sidley partner Lara Shalov Mehraban will participate in a one-on-one conversation with Nekia Hackworth Jones, Atlanta Regional Director of the U.S. Securities and Exchange Commission (SEC).
Use this link for more information and to register for the conference.
