Prevalent and emerging risks are creating a significant impact across the securities and financial services industries. Cyber-threats, Privacy, AML, Corporate…
Please join us for a very special luncheon presentation as Ira Hammerman, SIFMA’s Executive Vice President & General Counsel, will interview two titans of the securities compliance & legal field: James Tricarico, Chief Legal Officer at Edward Jones, and Douglas Kelly, Assistant General Counsel at Wells Fargo Advisors. As Jim and Doug approach their retirements from their respective firms, this will be a unique opportunity to hear from the two of them as they reflect on their stellar careers and engage in a wide-ranging discussion with SIFMA’s General Counsel.
January 24, 2018
Register Now for the C&L Monthly Luncheon, January 24. Please join SIFMA's C&L Society for a conversation with Robert Cook…
January 25, 2018
For those involved in the securities and financial services industries, it is important to stay aware of emerging risks and…