Overview

For 52 years, SIFMA’s C&L Annual Seminar has served as the preeminent event for compliance and legal professionals working in financial services. Throughout the three-day program, participants hear directly from industry leaders and regulators on the latest developments and trends and build professional relationships to collaborate better.

With focused discussions by noted keynote speakers and subject matter experts, attendees will have the opportunity to earn CLE credit, including diversity and ethics credit, and network with peers.

What to Expect at C&L Annual

 

Watch 2019 Livestream Replays

Watch livestream replays from SIFMA’s 2019 C&L Annual Seminar to view select sessions on the latest industry developments for compliance and legal professionals working in the financial services industry:

  • Enforcement Panel with SEC, SDNY, CFTC, FINRA
  • Regulatory Panel with FINRA, OCC, SEC

 

2019 Keynote Speakers

Madeleine K. AlbrightMadeleine K. Albright Jay ClaytonJay Clayton

Robert CookRobert W. Cook

 

Our 2019 Rauschman Award Winner

Program Tracks

Mix and match from eight program tracks to build your personalized agenda.

TrackCode BankingBKG Capital MarketsCPM ComplianceCPL LitigationLIT TechnologyTCH EthicsETHICS Diversity & InclusionD&I Future LeadersFL

SIFMA C&L Annual Seminar

Date

March 15 - March 18, 2020

Location

Orlando, FL

Overview

For 52 years, SIFMA’s C&L Annual Seminar has served as the preeminent event for compliance and legal professionals working in financial services. Throughout the three-day program, participants hear directly from industry leaders and regulators on the latest developments and trends and build professional relationships to collaborate better.

With focused discussions by noted keynote speakers and subject matter experts, attendees will have the opportunity to earn CLE credit, including diversity and ethics credit, and network with peers.

What to Expect at C&L Annual

 

Watch 2019 Livestream Replays

Watch livestream replays from SIFMA’s 2019 C&L Annual Seminar to view select sessions on the latest industry developments for compliance and legal professionals working in the financial services industry:

  • Enforcement Panel with SEC, SDNY, CFTC, FINRA
  • Regulatory Panel with FINRA, OCC, SEC

 

2019 Keynote Speakers

Our 2019 Rauschman Award Winner

Program Tracks

Mix and match from eight program tracks to build your personalized agenda.

TrackCode
BankingBKG
Capital MarketsCPM
ComplianceCPL
LitigationLIT
TechnologyTCH
EthicsETHICS
Diversity & InclusionD&I
Future LeadersFL

Venue

JW Marriott Orlando, Grande Lakes

4040 Central Florida Parkway
Orlando, FL 32837

The seminar meeting space will be on the JW Marriott side of the Grande Lakes complex.

Picture of venue

Accreditation

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants.

It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Panel attendance must be certified by each registrant seeking CLE credits. Attendees do not need to certify after each panel. CLE Credit cannot be certified after the Seminar adjourns.

When registering for the conference, make sure to check the box for CLE Credit. There is an additional charge of $75 for CLE Credit and you may select up to three states to receive CLE credit. CLE rates will increase to $150 onsite.

SIFMA will seek CLE Credit for this program in the following states:

  • AK
  • AL
  • AR
  • AZ
  • CA
  • CO
  • CT
  • FL
  • GA
  • IA
  • IL
  • IN
  • KS
  • KY
  • LA
  • MA
  • ME
  • MI
  • MN
  • MO
  • MT
  • NC
  • NE
  • NJ
  • NY
  • OH
  • OR
  • PA
  • SC
  • TN
  • TX
  • VA
  • WA
  • WI

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
Select sessions at this event will be open to the press.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.

Golf Tournament, Run for a Purpose and other activity charges will not be refunded after March 1, 2019