SIFMA Compliance and Legal Society Annual Seminar

When: March 15-18, 2015
Where: JW Marriott Desert Ridge Resort; Phoenix, Arizona

The SIFMA C&L Society’s 47th Annual Seminar is the premier event for Financial Services compliance and legal professionals, and features over 65 informative panels. Don’t miss your opportunity to engage with leading experts and discuss the latest regulatory developments and industry trends.

Featured Speakers

  • Kenneth E. Bentsen, Jr. – President and CEO, SIFMA
  • Mary Jo White – Chair, U.S. Securities & Exchange Commission
  • Preet Bharara – United States Attorney, Southern District of New York
  • Richard G. Ketchum – Chairman and Chief Executive Officer, FINRA
  • Theodore V. Wells Jr. – Partner, Paul, Weiss, Rifkind, Wharton & Garrison LLP

New Sessions in 2015

  • Compliance Risk Assessments and Conduct Risk
  • Handling a Securities Litigation Action
  • Current Considerations in Settling Regulatory and Criminal Enforcement Matters
  • Regulatory Examinations, Inspections and Reviews


SIFMA is the voice of the nation’s securities industry, bringing together the shared interests of hundreds of broker-dealers, banks and asset managers. We advocate for effective and resilient capital markets.