Join the Corporate Actions Section for our annual DTCC Seminar, covering the latest updates in operations, tax, product enhancements and…
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.
March 28, 2018
Join the FMS for a fundamental training, where participants can hear from industry participants on the following topics: Discover the…
April 10, 2018
In 2018, prevalent and emerging risks are creating a significant impact across the securities and financial services industries. Some of…