Leaders and Experts Forum

Leaders and Experts Forum

January 26, 2017
SIFMA Conference Center

  • Member: $225
  • Non-Member: $325
  • Regulator: $95
Register ›

SIFMA and Bates Group are pleased to co-host the 2017 Leaders & Experts Forum: Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data-Driven Age on Thursday, January 26th, 2017, at the SIFMA Conference Center in New York City.

With the SEC's and FINRA's 2017 regulatory and enforcement initiatives expected to be announced in January, and a new White House administration and agenda taking shape in early 2017, please join SIFMA and Bates Group as we convene industry leaders and experts to provide their perspectives and critical insights on navigating the regulatory landscape in this big data-driven age.

This half-day CLE discussion forum will feature two panels of leading in-house and outside counsel, SEC and FINRA, and SIFMA leaders and experts who will discuss regulatory priorities, ways to successfully manage regulatory investigations and enforcement matters, valuable insights into current FinTech/RegTech developments actively used by regulators and the industry, and ways that financial services firms can use data and regulatory analytics to derive and support solutions. Attendees will have the opportunity to earn CLE credit and to continue the conversation during the networking reception.

While at the Forum, you will have excellent opportunities to network with the following invited attendees:

  • In-house Counsel      
  • Outside Counsel
  • Compliance Professionals
  • Industry Regulators
  • Enforcement
  • Technology/Operations Professionals  
  • Experts
  • Service Providers
  • Legal Professionals 

Contact Information

Program questions? Contact Bernard Canepa

Registration questions? Contact Lizzie Grimm

Sponsorship questions? Contact Diana Serri

Market Data