SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. This…
Senior Investor Protection Conference
FINRA rules 2165 and 4512, which provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms to attempt to collect trusted contact information from all of their clients, took effect February 5, 2018.
SIFMA’s Senior Investor Protection Conference will bring together industry experts and regulators on Tuesday, February 5, in NYC to discuss the impact of these rules one year later. The conference will also explore other new tools in the marketplace – and what’s in the works – to defeat elder financial exploitation.
The conference program will include the latest research, recent legal and legislative developments, and on-going strategies to help protect senior investors.
April 3, 2019
Join SIFMA for a morning of practical learning and information sharing among key stakeholders on how best to protect our…
April 10 – 12, 2019
SIFMA's Private Client Conference brings together leaders from across private wealth management to examine the most topical issues facing the…