About 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.
For more information on Professional Societies, please contact:
- Office of Professional Societies
- [email protected]
SIFMA Compliance & Legal Society
SIFMA’s C&L Society is the leading forum for compliance and legal professionals working in the financial services industry. With a rich 50-year history, it 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.
Events & Webinars
SIFMA’s C&L Society develops valuable professional development offerings for compliance and legal professionals. Explore our upcoming webinars, watch on-demand content and earn CLE credit today. View all events.
What’s On: Spring & Summer 2022
- AML and Financial Crimes Conference: May 25-26 | New York, NY
- C&L Future Leaders Presents – The Path to Senior Management: June 2 | New York, NY
- C&L Regional Seminar – St. Louis: June 8 | Maryland Heights, MO
- C&L Luncheon Series: June 15 | New York, NY
- C&L Regional Seminar – San Francisco: August 3 | San Francisco, CA
- C&L Regional Seminar – Charlotte: September 19 | Charlotte, NC Registration opens soon!
Recognitions and Awards
The C&L Society recognizes leaders in the compliance and legal industry with the annual presentation of our Rauschman Award and DEI Advocate Award.
The Rauschman Award
The Alfred J. Rauschman Award is presented by the Compliance & Legal Society annually to a candidate who has demonstrated significant contributions to the compliance and legal communities, promoted open communications among industry practitioners to share ideas and issues, fostered dialogue and communications with regulators and dedicated their career to the securities industry. Alfred J. Rauschman was a visionary in the securities industry compliance and legal profession who served as the Society’s first President.
The DEI Advocate Award
The C&L Society is committed to advancing diversity, equity and inclusion in our industry. The Diversity, Equity & Inclusion Advocate Award celebrates legal or compliance professionals who have demonstrated an exceptional commitment to building creative solutions that address diversity, equity and inclusion inequities in the financial services industry and ensures the next generation of leaders reflects our diverse society.
SIFMA Financial Management Society
SIFMA’s Financial Management Society (FMS) represents industry professionals from broker-dealers, futures commission merchants, asset managers, public accounting firms and consulting firms. The Financial Management Society delivers relevant and timely information and events on new and existing financial, accounting and regulatory rules impacting the financial services industry.
The following Working Groups, led by subject matter experts, address issues important to SIFMA FMS:
- National Conference Programming Working Group
- Regional Conference Programming Working Group
- Education Day Programming Working Group
- Future Leaders Working Group