Legal & Compliance

SIFMA’s Legal & Compliance committees advocate on legislation, regulation and business policy affecting compliance and governance. They also provide industry leadership benchmarking and coordination for compliance and regulatory implementation and adherence.

Featured Resources

Committee Guide

View Legal & Compliance Councils and Forums

SIFMA Compliance & Legal Society

SIFMA’s legal and compliance committees coordinate closely with the SIFMA Compliance & Legal Society, the leading forum for compliance and legal professionals working in the financial services industry.
CL Annual

The Power of Community. A Legacy of Leadership.

SIFMA’s C&L Annual Seminar is the preeminent meeting place for compliance and legal professionals in financial services to gain an understanding of what’s next for the markets and the clients we serve. Join us at Grande Lakes Orlando from March 22-25, 2026 – we can’t wait to see you there!

Contact

Saima S. Ahmed

Executive Vice President and General Counsel, SIFMA

Bernard Canepa

Managing Director & Associate General Counsel - Office of General Counsel, SIFMA
Kevin Carroll

Kevin Carroll

Deputy General Counsel, Litigation and Private Client (Legal), SIFMA

Alyssa Pompei

Vice President and Assistant General Counsel , SIFMA
Melissa McGregor

Melissa MacGregor

Deputy General Counsel and Corporate Secretary, SIFMA
Kevin Zambrowicz

Kevin Zambrowicz

Deputy General Counsel, Accounting and Institutional - Legal, SIFMA
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