C&L Society St. Louis Regional Seminar | SIFMA | 12 June 2018 | The Ritz-Carlton, St. Louis, 100 Carondelet Plaza, Clayton, MO 63105, USA
Venue
The Ritz-Carlton, St. Louis
The Ritz-Carlton, St. Louis, 100 Carondelet Plaza, Clayton, MO 63105, USA
What is Qwoted?
Qwoted is a free expert network: we help reporters connect with experts & we help those same experts build relationships with top reporters.
| Event Date | Tue Jun 12 EDT (over 6 years ago) |
| Location |
The Ritz-Carlton, St. Louis
100 Carondelet Plaza, Clayton, MO 63105, USA |
| Region | Americas |
Details
Overview:
SIFMA’s Compliance & Legal Society 2018 Regional Seminars will begin in St. Louis at Edward Jones Conference Center on June 12. This one day seminar will feature presentations by leading securities regulators and industry professionals.
Topics Include:
Getting to Yes: Compliance & Legal Support for the Business Areas
Regulatory – With a Focus on Exams
High Risk and Recidivist Brokers
Recruiting Protocol & Employment Risk
Big Data & Analytics – Using Data in your Surveillance Program
Sponsors & Partners
2018 Sponsors
GOLD:
• Bressler Amery Ross
• Greenberg Traurig
• Greensfelder, Hemker & Gale, P.C.
• McGuireWoods
SIFMA'S STRATEGIC PARTNERS:
• Accenture
• Broadridge
• Deloitte
• EY
• Fidelity Clearing & Custody Solutions
• Hearsay Systems
• IBM
• PwC
• Tata Consultancy Services