All members of the Operations & Technology Society (comprised of Corporate Actions Section, Credit & Margin Section, Customer Account Transfer…
SIFMA’s Fixed Income Markup Disclosure Seminar will feature presentations and roundtable discussions to promote industry dialogue on the final rules and recently released implementation guidance issued by the MSRB and FINRA in July 2017.
This Seminar is designed to provide members with an opportunity to discuss the practical implementation issues and assist members with interpreting the new rules and guidance, given differing business models among firms and different levels of resources. The seminar will also provide attendees with information on, and access to, a number of vendors that will provide compliance tools.
This is a SIFMA Member event. SIFMA Full Members and AMG Members are eligible to register.
September 14, 2018
This annual event will feature industry leaders discussing the latest regulatory requirements and challenges in the tax compliance and corporate…
September 18, 2018
During 2018, prevalent and emerging risks created significant impact across financial services. Some of the key emerging risks include: industry-wide…