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Legal & Compliance

Objective

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

C&L Regional Seminar: St. Louis
June 4, 2024 | St. Louis, MO

C&L Society Forum: New York
June 13, 2024 | New York, NY

C&L Society Forum: Boston
September 12, 2024 | Boston, MA

View Upcoming Events

Featured Event

AML & Financial Crimes Conference

SIFMA’s Anti-Money Laundering & Financial Crimes Conference will be held from May 6-7 in NYC. Join us at the only anti-money laundering and financial crimes conference specializing in the securities industry and capital markets!

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