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 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
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 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
Featured
Partner, Sia Partners Tom is a seasoned executive, leader and consultant who has set out to assist front office, service, and operational functions to improve performance across their organizations. Tom is currently an Associate Partner at Sia P... View More
Counsel, Mayer Brown LLP Michelle M. Stasny is counsel in Mayer Brown’s Washington DC office and a member of the Banking & Finance practice. She has experience, in both private practice and as in-house counsel, with a variety of securitization a... View More
Managing Director – Global Information Reporting, Deloitte Tim is a managing director in Deloitte’s Global Information Reporting practice with more than 16 years of experience in tax information reporting and withholding. Prior to joining Deloit... View More
Counsel, Sidley Austin Elizabeth Marino is a counsel in Sidley’s Boston office and is a member of the Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for Financial Services Regulation, and was named t... View More
Shareholder, Greenberg Traurig Steven M. Malina, a former Senior Attorney in the SEC’s enforcement branch, focuses his practice on a variety of litigation and regulatory matters with representations of financial services industry clients, hedge ... View More
Partner, Bryan Cave Leighton Paisner Renato Mariotti is an accomplished trial attorney who focuses on many types of complex high-stakes litigation, including private equity and hedge fund litigation, derivative-related claims and cyber theft. Re... View More
Vice President, Regulatory Affairs, Broadridge Financial Solutions Mike Donowitz joined Broadridge Financial Solutions in 2018. He heads Broadridge’s Washington DC Office and is responsible for government relations, regulatory affairs, and work... View More
Capital Markets Industry Specialist, Amazon Web Services (AWS) Alex Mirarchi is a Capital Markets Industry Specialist at Amazon Web Services (AWS). Alex’s core focus is helping Global Exchanges and Infrastructure firms transform their businesses... View More
Vice President, Head of Tax Services Operations and Client Services, Broadridge Financial Solutions Amy is a strategic leader with extensive experience guiding teams that build global utilities for complex business functions. She is widely recog... View More
Head of Securities and Claims, Access Fintech Par is focused on the creation and rollout of new securities products for the finance sector against the core AccessFintech platform. Before joining AccessFintech, Par’s experience was predominately ... View More
Featured Thought Leadership Content
The Survival Guide for Chief Compliance Officers in Uncertain Times
Posted by : Ally S. , Marketing Specialist, from Protiviti
7 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.
15 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
18 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. ,
26 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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