Join several hundred of your colleagues at the C&L Society Regional Seminar in New York City on November 1st at…
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.
November 5 – 8, 2017
The SIFMA Internal Auditors Society (IAS) Annual Conference will examine how Securities Industry leaders in Internal Audit, Risk Management and…
November 10, 2017
The SIFMA Compliance & Legal Society will host a breakfast in Chicago on November 10, 2017 at Mesirow Financial. For…