2026 New York City Broker-Dealer Fall Compliance Roundtable

Please join Sidley and ACA Group for a seminar geared towards in-house counsel and compliance officers on current broker-dealer regulatory issues. The roundtable will feature discussions with speakers from ACA, Sidley, and other key industry leaders covering Cybersecurity and Technology, Compliance and Sales Practice, and Financial Responsibility and Operations.

The full agenda is available here.

SPEAKERS

• Austin Fiala, Senior Principal Consultant, Risk and Cybersecurity, ACA Group
• Francois Cooke, Managing Director, Broker-Dealer Compliance Consulting, ACA Group
• David Katz, Partner, Sidley
• Elizabeth Marino, Partner, Sidley
• Joel Potenciano, Senior Vice President, Head of U.S. Regulatory Controllers, Jefferies
• Jeff Puente, Executive Director, Co-Head of Americas Operations and Finance Compliance, Morgan Stanley
• Jenny Seale, Partner, Sidley
• Lara Thyagarajan, Partner, Sidley

Sidley Austin LLP is an Approved Accredited Provider of CA, IL, and NY CLE credit. CLE credit is pending for this program.

Nothing in this program may be quoted or used in any manner without the express written consent of Sidley Austin LLP. The views expressed in this program are the views of the participants, and not necessarily those of the firm. This program is for informational purposes only and should not be considered legal advice or creating an attorney-client relationship. This program will not be recorded and is not for attribution.