Chief Compliance Officers (“CCOs”) are facing uncertain times due to a combination of factors that challenge the stability and predictability of th...
SIFMA Sources
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Premium Associate Members
Global Professional Services Firm Delivering Comprehensive Solutions for Financial Institutions PricewaterhouseCoopers (PwC) provides audit and assurance services to ensure compliance and build trust among broker-dealers and asset managers. Throug... View More
Compliance without compromise Global Relay is a leading provider of end-to-end compliance solutions for the global financial sector and other highly regulated industries. Founded in 1999, Global Relay delivers services to over 20,000 customers i... View More
Comprehensive Financial Services and Business Solutions Provider American Express offers world-class Charge and Credit Cards, Gift Cards, Rewards, Travel, Personal Savings, Business Services, Insurance, and more. The company provides a range of bu... View More
Global Professional Services Firm Providing Comprehensive Solutions for Financial Institutions From globalization to technological innovation, businesses around the world are exploring new and different ways of succeeding. By investing in our Glob... View More
Premier Post-Trade Market Infrastructure for the Global Financial Services Industry The Depository Trust & Clearing Corporation (DTCC) is the premier post-trade market infrastructure for the global financial services industry, providing cleari... View More
Broadridge Financial Solutions (NYSE: BR), is a global technology leader with the trusted expertise and transformative technology to help clients and the financial services industry operate, innovate, and grow. We power investing, governance, and c... View More
Featured
Managing Director, Tax Policy, Washington National Tax, Deloitte Tax LLP, US Jeff has over 20 years of experience in the tax policy arena and is currently responsible for communicating emerging tax developments in the U.S. Congress, the Internal... View More
Co-Chair of Data Strategy and Security Group, Debevoise & Plimpton LLP Avi Gesser is Co-Chair of the Debevoise Data Strategy & Security Group. His practice focuses on advising major companies on a wide range of artificial intelligence, cybersecu... View More
Audit & Assurance Partner & East Region Diversity, Equity & Inclusion Leader, Deloitte & Touche Reese Blair is an audit partner in Deloitte’s Investment Management Services group who has supervised, managed, and directed audits and other attesta... View More
Vice-President, FIS Business Solutions, FIS Tim D’Arcy is Vice President of FIS Business Solutions and has been active in the securities lending market for several decades. Tim has a long history of working closely with a variety of securities ... View More
Managing Director, KPMG Tanmay Patani is a recognized cybersecurity leader and is currently serving as a Managing Director in KPMG’s Chicago Cyber practice. He is a trusted advisor to many fortune 500 companies with over 18 years of experience i... View More
LSEG Post Trade and LCH Group COO, LCH Group John is Chief Operating Officer and Head of Americas for LCH Group. As COO, he is responsible for ensuring the execution of the group’s integrated global strategy, working closely with LCH’s regulated... View More
Managing Director, EY Stephanie is responsible for EY’s Global Tax Investing Service’s Global Withholding Tax Reporter (GWTR). She has more than 24 years of experience working on cross-border withholding tax issues and tax reclaims across the f... View More
Senior Director, Restructuring Administration and Issuer Services, Kroll James (Jim) Daloia is a senior director in the Restructuring Administration and Issuer Services practices, based in New York. Jim has over 15 years of experience and specia... View More
Managing Principal, Deloitte Tax LLP Jonathan joined the Washington National Tax office in 2012 as managing principal of its Tax Policy group. With extensive experience in the legislative arena, especially in tax policy, Jon is able to provide c... View More
SVP, Global Managing Director, Client Engagement and Innovation, Broadridge Financial Solutions As the global lead for Broadridge’s Client Engagement and Innovation Practice, Michelle is responsible for developing and bringing to market new enga... View More
Featured Thought Leadership Content
The Survival Guide for Chief Compliance Officers in Uncertain Times
Posted by : Ally S. , Marketing Specialist, from Protiviti
10 days ago
2025 Digital Transformation & Next-Gen Technology Study
The fifth annual Digital Transformation & Next-Gen Technology Study captures the perspectives of more than 500 financial services technology an...
Posted by : Carolyn R. , Marketing Specialist, from Broadridge Financial Solutions, Inc.
18 days ago
Building a Better Market Index - From Research to Reality
Ever wonder what led to the development of CRSP Market Indexes? Built on the success of its research quality stock data—and now, Chicago Booth Mag...
Posted by : Lynn O. , Senior Director, Marketing, from Center for Research in Security Prices, LLC
21 days ago
Off-Channel Communications: How Financial Services Organizations Can Address Regulators' Latest Target
With more employees working remotely and regulators taking a tougher approach to off channel communications (OCC), the mismanagement of OCC poses s...
Posted by : Arianna M. ,
29 days agoFeatured Listings
About SIFMA
SIFMA is the voice of the nation’s securities industry, bringing together the shared interests of hundreds of broker-dealers, investment banks and asset managers. We advocate for effective and resilient capital markets.
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