Join the SIFMA Compliance & Legal Society at one of our special luncheon presentations. Registration is now open for the…
Senior Investor Protection Conference
Pre-Conference Rates – Until 2/4/19
- Member $345
- Non-Member $495
- Regulator $150
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 2019 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.
Join us for a robust program that will include the latest research, recent legal and legislative developments, and on-going strategies to help protect senior investors.
January 25, 2019
Join the SIFMA Compliance & Legal Society at one of our topical networking breakfasts. Registration is now open for the…
February 4 – 5, 2019
SIFMA’s Anti-Money Laundering & Financial Crimes Conference brings together leading professionals from the securities industry, regulatory agencies and law enforcement…