Welcome
The Global Research Settlement along with a variety of rules and regulations has reshaped the function and structure of research over the past five years, with business models continuing to evolve at a staggering pace. The fifth anniversary of that historic agreement is approaching; questions about the future of research regulation are more pressing than ever.
The Securities Industry and Financial Markets Association is again offering an intense one-day conference to help senior research analysts, directors of research, and legal and compliance officials to master the broad array of difficult issues that challenge them. As in past years we are bringing together experts from the regulatory community and from within the business, research and compliance arms of the industry, offering an unparalleled opportunity to examine and digest all of the many legal and business complexities that face research departments.
This year’s conference will attempt to evaluate some of the ongoing and new unintended consequences of rules and regulations, as well as pondering the post-Settlement configuration of research regulation and practices.
Keynote Speaker:
 |
Erik R. Sirri
Director, Division of Trading and Markets
U.S. Securities and Exchange Commission |
Topics will include:
• Research Regulation – evaluating the legacy of the settlement and future plans
• Buy-side Perspective
• Fixed Income Research – current challenges
• Practical Issues for Research: Compensation, Communications and Conduct
• Research Business Models
The Conference begins with breakfast at 8:00 a.m. on Friday, September 26 and concludes at 4:45 p.m. (subject to change).