SIFMA: Compliance & Legal Society New York Regional Seminar 2012
- 11.14.2012 | 8:00 AM - 4:15 PM
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New York Marriott Marquis
1535 Broadway (between 45th & 46th Street)
New York, NY 10036
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.
