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.

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.

Committees

• Amicus & Litigation Advisory Committee
• Anti-Money Laundering (AML) & Financial Crimes Committee
• Compliance & Regulatory Policy Committee
• Technology & Regulation Committee

Related Forums and Councils

• Electronic Communications & Records Forum
• Employment Lawyers Forum
• Privacy & Data Protection Forum
• General Counsels Advisory Council

Featured Events

Anti-Money Laundering & Financial Crimes Conference
May 22-23, 2023 | New York, NY

C&L Future Leaders Presents
June 6, 2023 | New York, NY

C&L Regional Seminar: St. Louis
June 14, 2023 | St. Louis, MO

C&L Regional Seminar: Charlotte
September 11, 2023 | Charlotte, NC

C&L Annual Seminar
March 17-20, 2024 | Orlando, FL

 

Contact

Saima Ahmed
Executive Vice President and General Counsel

Bernard Canepa
Managing Director, Associate General Counsel

Kevin Carroll
Deputy General Counsel, Litigation and Private Client 

Melissa MacGregor
Deputy General Counsel and Corporate Secretary

Kevin Zambrowicz
Deputy General Counsel, Accounting and Institutional