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SIFMA Sources
SIFMA Sources is your definitive guide for companies, people, and our library of thought leadership for the capital markets and securities industry.
Search our listings, featuring SIFMA's premium and associate members; find a contact, and explore thought leadership. Use our interactive tools to build your own lists, connect with companies and people, and more.
Premium Associate Members
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
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
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
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
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
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
Featured
Senior Vice President, Options Clearing Corporation Patrick Hickey is Managing Director, Participant Services and Solutions at the Options Clearing Corporation, where he is head of business and product development. In this role Pat is responsibl... View More
Partner, WilmerHale Andre Owens’ practice focuses on securities trading and markets activities. He counsels broker-dealers, securities exchanges, investment advisers and other clients on a variety of regulatory issues under the rules of the SEC,... View More
Co-head of Financial Regulatory Advice & Response, Moore & Van Allen PLLC Ed is the former Global General Counsel of Bank of America Corporation. Having also headed or served as a senior executive with Bank of America's compliance, te... View More
Partner, Jones Day Beth Heifetz heads Jones Day’s Issues & Appeals Practice. She litigates complex cases in federal and state appellate courts, including the U.S. Supreme Court, and trial courts across the country. She has successfully represen... View More
SVP, Trading and Processing, FIS Kyle Gardner is the Group Executive for our Compliance business at FIS. An expert identifying and mitigating organizational risk and regulatory systems, Kyle approaches his leadership role with a sense of duty to... View More
Partner, Davis Polk & Wardwell LLP Mr. Kaplan serves as a member of Davis Polk’s three-person Management Committee and previously was co-head of the firm’s global Capital Markets Group. He advises issuers and underwriters in connection with capi... View More
Partner, Co-Chair, Financial Markets and Regulation, Katten Muchin Rosenman LLP Carl Kennedy is a partner and Co-Chair of Katten Muchin Rosenman LLP’s Financial Markets and Regulation practice. With a varied background as a former regulator wit... View More
Executive Director, Product Management - Equity Clearing, DTCC Bill Kapogiannis is an Executive Director in the Equity Clearing Product Management Group at The Depository Trust & Clearing Corporation (DTCC). In this role, Bill is responsible for... View More
Managing Director & General Manager, Wealth Management Services and Asset Services, DTCC Ann Bergin is Managing Director and General Manager, Wealth Management Services and Asset Services, for The Depository Trust & Clearing Corporation (DTCC). ... View More
Featured Thought Leadership Content
GenAI and Regulatory Obligations: Is it a ‘Record’?
Posted by : N B , Senior Manager , from Technology & Software Solutions (FinTech, Trading Platforms, Data Systems)
18 days ago
Introducing Symphony | Messaging, Voice, Cloud9, Directory & Analytics Software
Meet Symphony. Trusted connectivity for global finance. Serving over 1,000 financial institutions, take a quick tour of Symphony’s four interconne...
Posted by : K K , Director , from Technology & Software Solutions (FinTech, Trading Platforms, Data Systems)
22 days ago
Taming Shadow AI: What Legal Leaders Must Do Now
When employees use Shadow AI—that is, unauthorized, unvetted tools that the company is not overseeing or even aware of—it introduces risks, inclu...
Posted by : J M , Director , from Legal, Risk & Compliance Services
22 days ago
Navigating the New Crypto Frontier: Risks, Safeguards, and Regulation in Transition
With cryptoassets gaining recognition as an investment vehicle, Japanese regulatory authorities are discussing reclassifying them as a subclass o...
Posted by : S T , Head , from Technology & Software Solutions (FinTech, Trading Platforms, Data Systems)
22 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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Meet SIFMA Sources: A Quick Walk-Through
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