Professional Societies

By facilitating the exchange of information among specialized professionals in the financial services industry, SIFMA's Societies prepare members for market changes and emerging trends.

SIFMA’s Compliance & Legal Society is the leading forum for compliance and legal professionals working in the financial services industry. Membership provides a unique opportunity for industry leaders and regulators to come together to share information and collaborate with the goal of ensuring our capital markets are the most fair, transparent and ethical in the world.

SIFMA’s Financial Management Society (FMS) members are primarily made up of industry professionals from broker-dealers, futures commission merchants, asset managers, public accounting firms and consulting firms. The Financial Management Society delivers pertinent, relevant and timely educational information and events on new and existing financial, accounting and regulatory rules impacting the financial services industry.

The SIFMA Internal Auditors Society is a professional organization representing internal auditors from banks, broker-dealers, insurance companies, mutual funds, public accounting firms and self-regulatory agencies associated with the securities industry. The primary mission of IAS is to provide value to its membership, through educational seminars, conferences, luncheons and courses covering topics of current interest to internal auditors and stakeholders in the internal audit community. IAS also produces audit guidelines on key issues, including accounting, branch offices, commodities, information technology, financial issues, mortgage backed securities, operations, regulatory issues, trading desks, treasury risk, fraud risk, anti-money laundering and foreign exchange.