With more employees working remotely and regulators taking a tougher approach to off channel communications (OCC), the mismanagement of OCC poses s...
SIFMA Sources
Thanks for exploring the Sources site! We’d love to hear what you think. Tell us here.
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
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
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
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
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
Principal, EY Grainne is a Principal in the Capital Markets practice at EY. Grainne specializes in effectively delivering large transformation programs at top tier institutions. Grainne is as passionate about enabling productivity and creativit... View More
Director of Product Management, DTCC Christopher Scotto is responsible for the Corporate Actions product line at DTCC. Christopher joined DTCC in 1997 serving in several roles across Global Operations and Client Services before transitioning to... View More
Partner, Stradley Ronon Jamie M. Gershkow is a Partner at Stradley Ronon in New York. Jamie focuses her practice on advising investment companies, independent trustees and investment advisers on regulatory and compliance matters and securities l... View More
Member , White Collar, Regulatory Defense & Investigations, Moore & Van Allen PLLC Frank has extensive experience conducting internal investigations for clients in the United States and abroad pertaining to a wide range of iss... View More
Executive Vice President and Chief Operating Officer, Options Clearing Corporation Scot Warren is Executive Vice President and Chief Operating Officer of OCC, the world’s largest equity derivatives clearing organization. As COO, Mr. Warren has ... View More
Partner,, Sidley Austin Katie Klaben is a partner in Sidley Austin LLP’s global Securities Enforcement and Regulatory practice. She advises a variety of financial services firms, including investment advisers, public companies, family offices a... View More
Partner,, Morgan, Lewis & Bockius LLP Christine Lombardo advises investment managers and broker-dealers on financial regulatory matters. She concentrates her practice on securities regulation for a broad range of financial firms including retail... View More
Managing Director, Federal Affairs, PwC Michael E. O’Brien is a Managing Director in the Office of Government, Regulatory Affairs & Public Policy at PricewaterhouseCoopers. In his current role, Michael represents the firm and its interests befo... View More
Senior Manager, Deloitte Josh is a Senior Manager in Deloitte’s financial services practice with over fourteen years of experience and specializes in advising broker-dealers and registered investment advisors on regulatory and business operation... View More
Dan Garrett is an Operations and Technology executive with over 25 years of industry experience. Dan has held CEO, COO, and Technology Officer positions within the financial industry, including Registered Investment Advisory (RIA) firms, Broker-Dea... View More
Featured Thought Leadership Content
Off-Channel Communications: How Financial Services Organizations Can Address Regulators' Latest Target
Posted by : Arianna M. ,
12 hours ago
2025 - The year of payment stablecoin
In our latest publication, we delve into the current state of pivotal regulatory developments and provide an “impact and response framework,” whic...
Posted by : Justin N. , Marketing Specialist - Financial Services Industry, from Deloitte
1 day ago
A Roadmap to Engagement With the U.S. SEC’s New Crypto Task Force
On February 4, 2025, in the first official statement from the SEC's newly established Crypto Task Force, SEC Commissioner Hester Peirce provided a...
Posted by : Alexandra H. , BD and Marketing Specialist, from Sidley Austin LLP
5 days ago
The New SEC Crypto Task Force: A Journey into Uncharted Waters
The lead of the U.S. Securities and Exchange Commission’s (SEC’s) new Crypto Task Force (Task Force), Commissioner Hester Peirce, recently laid o...
Posted by : Rebecca D. ,
9 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.
Not a member? Learn more about the benefits of membership in the industry's leading trade association.
SIFMA does not endorse the companies or individuals listed on this website, nor does SIFMA guarantee the products or services they offer. This website contains paid advertisements. Potential users of the products and services advertised on this website should perform their own independent due diligence and use their own judgment on the suitability of any products and services for the intended purpose. The information on this website may be considered attorney advertising under the rules of certain jurisdictions. Prior results do not guarantee a similar outcome. The information and materials offered on this website are for general informational purposes only, do not constitute and should not be considered to be legal or accounting advice, and are presented without any representation or warranty whatsoever, including as to the accuracy or completeness of the information. Advertisers and sponsors are responsible for ensuring that material submitted for inclusion on this website is accurate and complies with applicable laws. SIFMA will not be responsible for the illegality of, or any error or inaccuracy in, advertisers’ or sponsors’ materials, or for the acts or omissions of such advertisers or sponsors.