Prevalent and emerging risks are creating a significant impact across the securities and financial services industries. Cyber-threats, Privacy, AML, Corporate…
With the February implementation deadline fast approaching, join SIFMA for a Senior Investor Protection Seminar to take a deep dive into FINRA rules 2165 and 4512. Industry experts and regulators will gather to review these new rules, which will provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms to attempt to collect trusted contact information from all their clients. During this half-day program, participants will have the opportunity to analyze the new rules and discuss the various implementation strategies of firms of all sizes and business models. Participate in-person or via webinar.
January 24, 2018
Register Now for the C&L Monthly Luncheon, January 24. Please join SIFMA's C&L Society for a conversation with Robert Cook…
January 25, 2018
For those involved in the securities and financial services industries, it is important to stay aware of emerging risks and…