Please join SIFMA for the Compliance & Legal Society New York Regional Seminar 2012. Topics covered will include:
- Current Regulatory Issues
- Derivatives – Dodd-Frank Implementation Updates Retail Compliance
- Impact of the US Federal Election on the Financial Industry
- Recent Case law and Implementing an Effective Ethics Program
- Current Institutional Sales, Trading and Research Issues
- Enforcement & Exams
WilmerHale Partner Stephen Luparello is a featured speaker at this event.