Watch on demand: SIFMA’s Securitization Conflicts of Interest Webinar, co-presented with Mayer Brown: https://bit.ly/3qmRZM1 Earlier this year, the U.S. Securities and Exchange Commission re-proposed a rule to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. This Dodd-Frank provision, intended to prohibit certain conflicts of interest in securitization transactions, is interpreted extremely broadly by the SEC's sweeping proposal. If not amended, these rules would threaten the viability of many common, beneficial transactions in mortgage- and asset-backed securities. In this webinar, we explain the SEC’s proposal, its potential impacts, and what you need to know about where the issue is headed next. #SIFMACL #compliance #securitization #ABS #capitalmarkets #financialregulation
SIFMA C&L Society’s Post
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✨The #SIFMACL Regional Seminar in New York City is shaping up to be a power-packed day! Meet your speakers: - William St. Louis, FINRA - Saima Ahmed, SIFMA - Marshall Miller, Principal Associate Deputy Attorney General, U.S. Department of Justice - Preet Bharara, WilmerHale - Akinyemi Akiwowo, Morgan Stanley - Phil Arnold, Goldman Sachs - Stephen Cohen, Sidley Austin LLP - Rosalynn Hsu Cormier, The Vanguard Group, Inc. - Christina Dugger, JP Morgan Chase & Co. - Avi Gesser, Debevoise & Plimpton - Mudit Gupta, CPA, CGMA - Ariel Gursky, Morgan Lewis - Imran Javaid - Mark Keene, Wells Fargo - Crystal Lalime, Barclays - Elaine Mandelbaum, Interactive Brokers - Jennifer Morton, A&O Shearman - Osman Nawaz, U.S. Securities and Exchange Commission (SEC) - Anne Marie Palfrey, Deutsche Bank - Sofia R., Citi - Racquel Russell, FINRA - Joaquin Sena, Bank of America - Robert Toomey, SIFMA - Carmine A. Venezia, BNY View the full program to learn more about sessions, networking opportunities, and more: https://bit.ly/3Y30Jnk Limited seats remain! Save yours today.
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Inside our latest #SIFMACL Update is an interview with Andrew Stemmer, Global General Counsel of Litigation & Regulatory Management for Deutsche Bank and Chairperson for our 2025 Annual Seminar. Read on to find out what he has planned and why he's excited to bring the industry's most influential meeting to Austin 🎸. Registration opens soon!
SIFMA C&L Society Update: September 2024 Edition
SIFMA C&L Society on LinkedIn
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Thanks to everyone who joined us at the #SIFMACL Regional Seminar in Charlotte! It was wonderful to see so many colleagues and meet some new ones, too. Please check your inboxes for a survey about your experience. Our planning committees read every piece of feedback you give and use it to plan our next events. We're coming to New York City on October 16 and to Dallas on November 7. Save your seat here! https://bit.ly/3zralzT
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On November 7, join #SIFMACL at our Dallas Forum for a conversation between Texas Securities Commissioner, Travis Iles, and the Regional Director of the SEC's Forth Worth Office, Eric Werner. They'll delve into the unique considerations for the securities industry and capital markets in Texas. Register here to save your seat! https://bit.ly/3MTWuoA
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The #SIFMACL Society is coming to Charlotte this Monday, September 23 and we'd love to see you there! You'll sit in on one-on-one conversations with FINRA and the U.S. Securities and Exchange Commission, hear insights on the latest industry trends, network with colleagues, and so much more. Check out who's speaking https://bit.ly/3B5IBkJ and register today https://lnkd.in/g7a-enu2 to join compliance and legal professionals from across the financial industry. Need CLE credits in North Carolina, South Carolina, or New York? Just select the "CLE Credit" box at checkout.
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Thanks to everyone who joined us in at Goodwin's offices for our #SIFMACL Boston Forum! We had great conversations and meaningful time with colleagues - not to mention fabulous views of Boston Harbor. Please check your inboxes for a survey about your experience. We use your feedback to plan our next events. We'll see you in Charlotte, New York, and Dallas next! Details here: https://bit.ly/47qaoZ7
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Just posted! The unofficial-end-of-summer #SIFMACL Update ☀️ Click through to browse through a roundup of happenings from the past few weeks and preview our fall event lineup.
SIFMA C&L Society Update: August 2024 Edition
SIFMA C&L Society on LinkedIn
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Nominations for the 2025 DE&I Advocate Award are now open! Do you know someone who is disrupting the status quo? Nominate a legal and compliance professional who has demonstrated an exceptional commitment to DE&I today: https://bit.ly/46TW8rp This award celebrates legal and compliance professionals in financial services who have demonstrated diversity, equity, and inclusion. Any legal or compliance professional in the industry may be nominated. The deadline to submit is Friday, October 18, 2024. The award will be presented at the 2025 C&L Annual Seminar, taking place from March 23–26 in Austin. We can wait to see you there! #SIFMACL #SIFMADEI
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"What hat will I wear today?" If you've ever asked yourself that question, this panel discussion is for you! At the #SIFMACL Forum in Boston, Abigail Armstrong, Amber Breimeir, Nick Losurdo, and Julie Lyman will discuss the potential difficulties faced by financial advisors when advising clients who invest through brokerage, investment advisory, or trust accounts, including questions such as: ✔️ What is the definition of fiduciary now that there is Reg BI, the DOL Rule, the Investment Advisers Act and state trust law? ✔️What are the pros/cons to structuring platforms and products on the front end versus supervising post-recommendation/sale? View the full program and register today. You'll spend a productive afternoon with colleagues hearing insightful discussions, earning CLE credits, and growing your network. https://bit.ly/3WEVxFh
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