Join the SIFMA Compliance & Legal Society at one of our special luncheon presentations. Registration is now open for the April…
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.
May 2, 2019
Join the SIFMA Compliance & Legal Society Future Leaders, registration is now open. For registration questions, please contact SIFMA Compliance…
May 6 – 9, 2019
Returning to Boca Raton, Florida, on May 6–9, the 46th annual SIFMA Operations Conference & Exhibition will gather operations, technology…