SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. This seminar provides a unique opportunity for industry leaders and regulators to gather for three days of information sharing, networking and collaboration.
With noted keynote speakers and 60+ in-depth breakout sessions, participants will earn CLE credit while discussing the latest industry developments and collaborating on best practices.
First-time attendee? The first 50 first-time attendees to SIFMA’s C&L Annual Seminar receive 50% off current registration rates. Inquire now. SIFMA C&L Society members only. Not a member? Join today.
Confirmed Featured Speakers
Madeleine K. Albright
Robert W. Cook
Testimonials from 2018 Delegates
“It’s a capsule to have all the regulators you care about, to have all your peers to brainstorm with, and to give back to others what you’re taking in yourself.”
“You’ll learn information here that you really cannot get anywhere else.”
Set on 316 spectacular acres in the Sonoran Desert, the award-winning JW Marriott Phoenix Desert Ridge offers breathtaking views and everything you’ll require for a remarkable conference experience, less than 20 miles from downtown Scottsdale, Arizona.
Standard ROH Room: $369 per night plus taxes + fees*
Cancellation Policy: To secure a room at JW Marriott Phoenix Desert Ridge at the SIFMA C&L group rates, you must be registered to attend the 2019 C&L Annual Seminar. Please note that any hotel room reservations secured under the SIFMA C&L hotel block that do not match-up to a seminar registration by Monday, February 25th will be subject to hotels’ then prevailing room rates. If a confirmed reservation is cancelled after Monday, February 25th, 2019, a non-refundable payment equal to one night room and tax will be forfeited to the credit card on file. Failure to check in to your room on the reserved date will incur a fee equal to room and tax for the reserved length of stay. Hotel will accept name changes until twenty-four (24) hours prior to arrival without cancellation fees.
After February 15th, SIFMA will not allow two rooms under the same guest name for this event. If duplications exist after February 15th, these rooms are subject to cancellation in order to accommodate other registered attendees. SIFMA will notify the attendee and if we don’t receive a response within 72 hours, one of the two rooms will be canceled.
Shuttle bus service will be provided between the Scottsdale Marriott at McDowell Mountains and the JW Marriott Desert Ridge during seminar hours. The Fairmont is located 6.6 miles away from Desert Ridge and, it is a 15 minute drive between properties.
Scottsdale Marriott at McDowell Mountains Room Rates:
Standard Room: $349
Cancellation Policy: To avoid a one night’s room and tax charge, reservations must be cancelled before Monday, February 25th, 2019. Failure to check in to your room will incur a fee equal to the entire length of stay.
Shuttle bus service will be provided between Cambria and the JW Marriott Desert Ridge during seminar hours. Cambria is located 1.7 miles away from Desert Ridge and, it is a 7 minute drive between properties.
Cambria Hotel & Suites Phoenix Room Rates:
Standard Room: $259
Cancellation Policy: To avoid a one night’s room and tax charge, reservations must be cancelled before Wednesday, March 6th, 2019. Failure to check in to your room will incur a fee equal to the entire length of stay.
Shuttle bus service will be provided between the Fairmont Scottsdale Princess and the JW Marriott Desert Ridge during seminar hours. The Fairmont is located 5.2 miles away from Desert Ridge and, it is a 15 minute drive between properties.
Fairmont Scottsdale Princess Room Rates:
Standard Room: $389
Cancellation Policy: To avoid a one night’s room and tax charge, reservations must be cancelled before Friday, March 1st, 2019. Failure to check in to your room will incur a fee equal to the entire length of stay.
*A small portion of the JW Marriott room rates will be collected to cover conference operational costs.
Policy Select sessions at this event will be open to the press. Please contact us for details.
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. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.
If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.
SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.
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.
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.
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.