SIFMA C&L 2017 Annual Seminar

Bressler, Amery & Ross is a proud Diamond Sponsor of the 2017 SIFMA Compliance and Legal Society Annual Seminar where principals Mark Knoll, Regina Martorana, Alex Sabo and Andrew Sidman will be speaking.

On Sunday, March 19, Alex Sabo will participate on the panel "Diminished Capacity Issues for Investors and Advisors." Topics to be covered include:

  • Diminished Capacity Overview
  • Regulatory and Legislative Developments
  • Training Standards
  • Approaches to Supervision and Escalation

Andrew Sidman will participate on the panel "Private Client CCO Roundtable" on Sunday, March 19. Topics to be covered include:

  • Culture of Compliance
  • Conflicts of Interest
  • Big Data: How Do We Keep Up with the Regulators?
  • Policies, Procedures and People: The Human Element
  • Exam and Enforcement Themes

On Tuesday, March 21, Regina Martorana will participate on the panel "Arbitrating in the FINRA Forum."  Topics to be covered include:

  • Defending Selling Away Cases
  • Eligibility and Statutes of Limitation
  • Discovery in Product Cases
  • Preparing Your Witnesses for Cross Examination
  • Forum Selection Clauses

On Wednesday, March 22, Mark Knoll will participate on the panel "Applying Compliance Controls to Emerging Communications Technology." Topics to be covered include:

  • Mobile Devices – Bring your own Device (BYOD) and Corporate-Owned, Locked-Down (COLD) Issues
  • Monitoring Communications
  • Social Media
  • Records Retention – Write Once, Read Many (WORM) Issues
  • Working with Technology

CLE credits will be offered.

From the SIFMA website:
The SIFMA Compliance & Legal Society Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. This critical forum provides an opportunity for industry leaders and regulators to come together to educate each other, share ideas and concerns, and address developments and emerging trends impacting the C&L community.   

To learn more about the seminar and to register, visit the SIFMA website.