Compliance and Legal Society Annual Seminar

Event Overview

The SIFMA Compliance and Legal Society's 46th Annual Seminar hosted over 300 speakers, sharing insights and trends across 65 substantive panels on the latest regulatory developments, compliance effectiveness, and other top industry topics, including:

• The Impact of the Volcker Rule
• Insiders' View of Recent Securities Law Cases Before the Supreme Court
• Re-Examining Ethics in the Financial Services Industry
• Diversity and Inclusion
• Commodities and Derivatives Litigation and Regulatory Update
• And much more

Please see below for remarks and news from the conference.

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Howard R. Plotkin, President, SIFMA Compliance & Legal Society

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David Prince, Chairperson, SIFMA Compliance & Legal Annual Seminar Planning Committee

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Drew Breakspear, Commissioner, Florida Office of Financial Regulation

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Chair Mary Jo White, U.S. Securities & Exchange Commission

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Preet Bharara, United States Attorney, Southern District of New York

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Current Enforcement Panel

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Women's Luncheon with Jane Sherburne, Senior Executive Vice President, General Counsel & Corporate Secretary, Bank of New York Mellon

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Diversity Breakfast with Todd Sears, Founder & Principal, Coda Leadership

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Kenneth E. Bentsen, Jr., SIFMA President & CEO

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Andrea Seidt, North American Securities Administrators Association, President

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Presentation of the Alfred J. Rauschman Memorial Award to David A. DeMuro

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A Conversation with FINRA CEO, Richard Ketchum

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Elaine Mandelbaum, Co-Chairperson, SIFMA Compliance & Legal Annual Seminar Planning Committee

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Walter Lukken, President & CEO, Futures Industry Association

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SEC Developments Panel

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Exhibit Hall

Prepared Remarks

• Mary Jo White, Chair of the U.S. Securities and Exchange Commission:
  General Session Remarks as Prepared for the SIFMA C&L Society's Annual Seminar (March 31)
• Preet Bharara, United States Attorney, Southern District of New York:
  General Session Remarks as Prepared (March 31)
• Kenneth E. Bentsen, Jr., President & CEO, SIFMA: General Session Remarks as Prepared (April 1)

News Coverage

• Florida Office of Financial Regulation: Commissioner Drew J. Breakspear to Deliver SIFMA Welcome Address (March 26)
• Mondaq: Ketchum Shares Bon Mots with BD Industry at SIFMA Meeting (April 14)
• Futures & Options World: Market macroscopes and microscopes (April 14)
• Bloomberg: Bharara on Company Crimes, Clearstream, HSBC, Taxes: Compliance (April 2)
• Lexology: CFTC enforcement outlook (April 1)
• MarketWatch: As market talks high-frequency trading, SEC chief focuses on insider trading (March 31)
• Business Insider: Manhattan US Attorney's Office Warns 'A Significant Financial Institution' May Get Charged With A Serious Crime (March 31)
• WealthManagement.com: No ‘Get-Out-of-Jail-Free’ Card for Financial Firms (March 31)
• Florida Office of Financial Regulation: Commissioner Drew J. Breakspear to Deliver SIFMA Welcome Address (March 26)

SIFMA on Twitter

#SIFMA CEO Bentsen @ C&L conference: "Compliance dept is an integral to modern firm's operation" http://t.co/qZP2RZ2RtE

— SIFMA (@SIFMA) April 1, 2014

ICYMI: Groups question CARDS, FINRA's data collection plan http://t.co/HnsM245SjQ #dataprivacy #SIFMA

— SIFMA (@SIFMA) April 1, 2014

If it doesn't pass cost / benefit analysis, we won't do CARDS > Ketchum @FINRA_News #SIFMA

— Joanna Belbey (@Belbey) April 1, 2014