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Event Date Thu Dec 9 EST (over 1 year ago)
Location Virtual
Region All

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


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
• Fidelity
• Kyndryl