C&L REGIONAL

Monday, October 5, 2026 | 8:00 a.m. – 5:30 p.m. ET

The Ritz-Carlton | Charlotte, NC

Where the Compliance & Legal Community Connects

Join SIFMA’s Compliance & Legal Society in Charlotte for the C&L Regional Seminar: Southeast. 

This one-day program brings together compliance and legal professionals from across the capital markets to discuss regulatory developments, share practical perspectives, and connect with peers facing similar challenges across broker-dealers, asset managers, and wealth management firms.

Keynote Speaker

Robert Colby

Chief Legal Officer

FINRA

What You'll Learn

The C&L Regional Seminar: Southeast brings together compliance and legal professionals from across the capital markets for a focused, in-person exchange on the regulatory and supervisory issues shaping the industry today.

Designed for professionals at broker-dealers, asset managers, and wealth management firms, the seminar offers timely insight and practical guidance that is relevant across experience levels—from those building expertise to those leading programs and teams.

Participants will:

Gain perspective on current and emerging regulatory and compliance priorities affecting capital markets firms.

Benchmark policies, controls, and compliance frameworks across firms and business models.

Learn practical approaches to supervision, governance, and risk management that can be applied in day-to-day roles.

Connect with peers and leaders from the compliance and legal community across the Southeast region.

Sponsors

SIFMA C&L Regional Seminars offer an excellent opportunity to engage with leaders of the compliance & legal profession in the financial services industry.

For sponsorship inquiries, please view our sponsor prospectus and contact Scott Kramer at 212.313.1119.

About the SIFMA C&L Society

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.

Follow us on LinkedIn, sign up for updates, and learn more today.