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
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
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
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
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
Featured
Partner, McGuireWoods LLP Andrew is the Co-Chair of McGuireWoods’ Securities Enforcement and Regulatory Counseling Practice. Andrew represents public companies, financial institutions, and individuals in civil and criminal securities investigati... View More
Co-Head of ESG Group, Davis Polk & Wardwell LLP Betty Moy Huber is co-head of the firm’s ESG (Environmental, Social and Corporate Governance) Group as well as co-head of the firm’s Environmental Transactional Group. For over two decades, she has... View More
Director of Product Management for Equities and Clearing Service, DTCC Craig Gurien is Director of Product Management for Equities and Clearing Services at DTCC where he is responsible for managing NSCC’s Automated Customer Account Transfer Serv... View More
Principal, Chief Compliance Officer, Vanguard Marketing Corporation Erica A. Green is a leader in Vanguard’s Office of General Counsel (OGC) with specific responsibility for the Compliance teams for Vanguard’s distribution businesses and self-cl... View More
Vice President, Securities Services, Broadridge John joined Broadridge in January 2021 and is responsible for leading the planning for the Securities Services business. Prior to joining Broadridge John spent 5 years at JP Morgan and 21 years at... View More
General Manager of Equity Clearing and DTC Settlement Service, DTCC Michele Hillery serves as General Manager of NSCC’s Equity Clearing and DTC’s Settlement Service at DTCC. In this role, she is responsible for setting business strategy and day-... View More
Partner, Davis Polk & Wardwell LLP Mr. Zweihorn is a partner in Davis Polk’s Financial Institutions Group and the trading and markets practice, practicing in the Washington DC office. His practice focuses on the regulation of broker-dealers and... View More
Partner, PwC Pete Driscoll joined PwC in the National Quality Organization (NQO) in Washington, DC in September 2021. Although Pete is based in the NQO, he serves clients in the Financial Services Sector. As a partner, Pete brings to clients hi... View More
SVP, Division Executive, Solution Delivery, Capital Market Solutions, FIS Cheryl is responsible for professional services at FIS. Guiding this team through transformation and modernization of delivery, accelerating customers time to value. Cher... View More
Industry Principal, Capital Markets Specialist, Amazon Web Services Ankeet Dedhia is passionate about helping financial services organizations with co-innovation and business transformation using the power of Amazon cloud and leadership principl... View More
Featured Thought Leadership Content
The Survival Guide for Chief Compliance Officers in Uncertain Times
Posted by : Ally S. , Marketing Specialist, from Protiviti
5 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.
13 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
16 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. ,
24 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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