Join SIFMA's Compliance & Legal Society and the Florida Securities Dealers Association for informative, relevant and practical content, focused networking opportunities, and CLE credits.
C&L Forums gather compliance and legal professionals working in the financial services industry to share best practices and guidance in the increasingly complex and changing regulatory and compliance arenas.
- Current and potential future state of the Protocol for Broker Recruiting
- FINRA Rules that are relevant to the recruiting process
- Legal cases of interest in the recruiting space
- FTC’s proposed ban on noncompete agreements, the potential for its enactment and impact on the securities industry
Moderator:
Dominique Heller, Senior Assistant General Counsel, VP Employment Practices, Raymond James
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Panelists:
Margaret H. Allen, Partner, Sidley Austin LLP
Julia M. Jordan, Partner, Sullivan & Cromwell
Andrew Smith, Senior Vice President, Assistant General Counsel, Citizens Financial Group
On the regulatory and enforcement landscape for off-channel communications
Moderator:
Melissa MacGregor, Deputy General Counsel and Corporate Secretary, SIFMA
Speaker:
Paul Atkins, Chief Executive, Patomak Global Partners
- Overview of Reg BI (the four prongs and Form CRS)
- Reg BI vs. the suitability obligation
- SEC guidance on Reg BI
- The evolution of Reg BI enforcement
- Recent actions involving Reg BI violations
- FINRA’s approach to Reg BI
Moderator:
Gavin Meyers, Counsel, Baker McKenzie LLP
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Panelists:
Ariel Gursky, Partner, Morgan, Lewis & Bockius LLP
Joe Savage, Vice President and Associate General Counsel, FINRA
Alex McCoy, Senior Vice President, LPL Financial
Our in-person program will seek CLE credits in Florida and New York.
It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Fee reduction may be available for qualified registrants. View SIFMA's Hardship Policy.
SIFMA C&L Regional Seminars offer an excellent opportunity to engage with leaders of the compliance and legal profession in the financial services industry.
For sponsorship inquiries, please contact Scott Kramer at 212.313.1119.
Please contact the SIFMA C&L Society. Please remember that pre-registration is required to participate.Â
It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact the SIFMA C&L Society.
Inappropriate behavior at SIFMA events is not tolerated. View our Code of Conduct and anonymous incident report form.
SIFMA’s Compliance & Legal 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.