SIFMA Compliance & Legal Society

SIFMA’s C&L Society is the leading forum for compliance and legal professionals working in the financial services industry.

About the 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.

C&L Regional Seminar: San Francisco
August 3, 2022 | San Francisco, CA

C&L Regional Seminar: Charlotte
September 19, 2022 | Charlotte, NC

C&L Annual Seminar
March 12-15, 2023 | San Diego
Registration opens Fall 2022

View SIFMA’s full event calendar and stay tuned for more event announcements!

Future Leaders

The SIFMA Compliance & Legal Society, through its Future Leaders initiative, connects individuals who are new to the industry, those that are rising in their careers, and those that aim to mentor, sponsor, and develop the next generation of leaders. Future Leaders look to what is next for the industry, bringing together resources, sourcing content, and planning forward-looking events.

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.

Board & Officers

  • Alfred J. Rauschman

  • Edwin B. Peterson

  • Edward I. O'Brien

  • William J. Fitzpatrick

  • Philip J. Hoblin, Jr.

  • John P. Cione

  • David Marcus

  • Stephen L. Hammerman

  • Judith G. Belash

  • Saul S. Cohen

  • M. David Hyman

  • William R. Harman

  • Loren Schechter

  • O. Ray Vass

  • Stuart L. Sindell

  • Robert J. Albano

  • Robert I. Kleinberg

  • Kevin J. McKay

  • Allen B. Holeman

  • Robert C. Errico

  • James A. Tricarico, Jr.

  • Michael H. Stone

  • David A. DeMuro

  • Paul A. Merolla

  • Beth Dorfman

  • Edward Turan

  • Louise Guarneri

  • Howard R. Plotkin

  • Scott Bieler

  • David C. Prince

  • Elaine H. Mandelbaum

Resources