The Private Client Group (PCG) is committed to providing proactive guidance and recommendations to enhance investor trust and confidence in the securities industry and to provide regulators and policy makers with a business perspective on legislative and regulatory proposals affecting individual investors.
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Private Client Group Steering Committee
Objective: Discuss and debate all private client related issues within SIFMA to: 1) identify all private client related issues and assign priority; 2) speak publicly on private client issues; and 3) confer with PCG committee chairs to ensure that Board objectives are being met by their committees, and that concerns of those committees are communicated to the Board and acted upon, when appropriate.
Independent Contractor Firms Committee
Objective: Represent the interests of firms that operate an independent contractor distribution channel serving individual investors. Provide information sharing opportunities for CEOs, or other C-Suite executives, in the independent contractor firm segment of SIFMA membership.
Private Client Services Committee
Objective: Lead and advise SIFMA on PCG issues related to: 1) investment advice; 2) proposed regulations; 3) proposed legislation; 4) marketing to investors and investment professionals; 5) product development; and 6) professional development. Provide the Association and the industry with proactive guidance and recommendations to enhance public trust and confidence in the securities industry. Promote and encourage the highest ethical standards in dealing with the investing public. Engage in in-person communication and consultation with legislators and regulators. This has been the lead business Committee used for Hill visits on DOL Fiduciary.
Private Client Small Firms Committee
Objective: Represent the interests of small firms that serve individual investors. The member firms generally have fewer than 100 registered representatives and clear their transactions through a clearing firm. Many of the firms have fewer than 100 employees. Provide information sharing opportunities for CEOs in the private client small firm segment of SIFMA membership.
Roundtables of the Private Client Group
Alternative Investments Roundtable
Credit & Lending Services Roundtable
Insurance/Annuity Supervisors Roundtable
Large Regional Firms Private Client Managers Roundtable
Managed Accounts/Investment Advisory Roundtable
Managers of Client Service Associates/Assistants Roundtable
Marketing Managers Roundtable
Mutual Fund Business/Distribution Roundtable
Next Generation of FAs Roundtable
Online Brokerage Roundtable
Private Client Supervisors Roundtable
Small Private Client Firms CEOs Roundtable
Small Regional Firms Private Client Managers’ Roundtable
Social Media Marketing & Communications Roundtable
Trust Services/Estate Planning Roundtable
Wealth Strategies Roundtable
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