SIFMA FMS Virtual Education Day 2021 | Securities Industry and Financial Markets Association (SIFMA) | 9 December 2021 | Virtual
Venue
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| Event Date | Thu Dec 9 EST (about 3 years ago) |
| Location | Virtual |
| Region | All |
Details
Join us for updates on rules 15c3-1 and 15c3-3!
As a follow-up to the fms education day: net capital (15c3-1) and customer protection (15c3-3) fundamentals held this past spring, Sifma's financial management society (sifma fms) will host a deeper dive into these two key sec rules this winter.
Bring your questions and join us virtually as we examine in greater detail the daily activities and responsibilities of the securities industry professional related to complying with rules 15c3-1 and 15c3-3.
This half-day program will also provide the latest updates on critical rule requirements, interpretations, and regulatory expectations. Attendees will be eligible for up to 3 cpe credits.
Net Capital (Rule 15c3-1):
• Why the rule exists
• Daily processes: Monitoring and gathering information
• Underwriting, fails and other situations
• Updates and new matters
Customer Protection (Rule 15c3-3):
• What the rule is intended to accomplish
• Daily processes: breaks, settlements, and fails
• Updates and new matters
Speakers
2021 Speakers
Charles DiVuolo
Head of Regulatory Reporting & Capital Management, JPMorgan Securities
Jennifer Ricatti
Executive Director, Morgan Stanley
Yelena Shilkrut
Vice President, Goldman Sachs
Frank Giannico
Vice President, Regulatory Reporting, Deutsche Bank
Matthew Guiney
Vice President, JPMorgan Chase
Anthony Santulin
Vice President, Broker-Dealer Regulatory Reporting, Goldman Sachs
Sponsors & Partners
2021 Partners
• Broadridge
• Deloitte
• EY
• FICO
• Fidelity
• FIS
• IBM
• Kyndryl
• PWC