Welcome
Research regulation and business models continue to evolve at a staggering pace.
Recent regulations and interpretations continue to redefine the function and structure of research, as well as its business models. The challenge is to adapt to all of these changes while striving to produce superior research has never been greater.
The Securities Industry and Financial Markets Association is again offering an intense one-day conference to help senior research analysts, directors of research, and legal and compliance officials to master the broad array of difficult issues that challenge them. Last year's event brought together experts from the regulatory community and from within the business, research and compliance arms of the industry. This proved to be an unparalleled opportunity to examine and digest all of the many legal and business complexities that face research departments.
This year’s conference will attempt to evaluate some of the ongoing and new unintended consequences of rules and regulations, as well as the increasingly global nature of research production and distribution.
Topics will include:
- Research Regulation – interpretations, new rules and future plans
- Global Issues – challenges of global production and distribution
- Research Methods – cross asset research; outsourcing and off-shoring
- Third-party Research
- Soft Dollars & Commission Sharing Agreements
- Practical Issues for Research: Compensation, Communications and Conduct
- New Business Models
The Conference begins with breakfast at 8:00 a.m. on Friday, September 28 and concludes at 4:15 p.m. (subject to change).
For questions regarding Registration, please contact:
Debbie Devine, 212- 720-0670 (ddevine@sifma.org)
For additional information regarding the Sponsorship, please contact:
Jeff Freimauer, 212-618-0592 (jfreimauer@sifma.org)
CLE Credits
SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the state of New York. Parts of this program have been approved for CLE credits.
Fee reduction may be available for qualified registrants.