SIFMA’s Compliance And Legal Society Annual Seminar
Stephanie Avakian and Steven Peikin, Co-Directors of the Division of Enforcement, will participate in a panel at SIFMA’s Compliance and Legal Society Annual Seminar. Agenda details.
Tag Archives: Seminar
FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton
FINRA’s Anti-Money Laundering (AML) Half-Day Seminars provide attendees with information on the fundamentals of money laundering and money laundering typologies, relevant rules and regulations, and monitoring for suspicious activity. Each … Continue reading FINRA Anti-Money Laundering (AML) Half-Day Seminar – Boca Raton
SIFMA Operations and Technology Society: Corporate Actions Section DTCC Seminar
Join the Corporate Actions Section for our annual DTCC Seminar, covering the latest updates in operations, tax, product enhancements and more! All CAS Members are entitled to one complimentary event … Continue reading SIFMA Operations and Technology Society: Corporate Actions Section DTCC Seminar
SIFMA C&L Annual Seminar
SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. Celebrating its 50th anniversary, the 2018 Annual Seminar provides a unique … Continue reading SIFMA C&L Annual Seminar
SIFMA Social Media and Digital Marketing Seminar
SIFMA’s Social Media Seminar is the leading forum for Business, Marketing and Compliance professionals in Wealth Management to explore how to maximize the use of social media platforms while adhering … Continue reading SIFMA Social Media and Digital Marketing Seminar