Chief Compliance Officers (“CCOs”) are facing uncertain times due to a combination of factors that challenge the stability and predictability of th...
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
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
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
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
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 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, WilmerHale Stephanie Nicolas is a Partner in WilmerHale’s Securities Department, and a member of the Broker-Dealer Compliance and Regulation Group. Ms. Nicolas has extensive experience handling a broad range of broker-dealer regulatory... View More
Partner, Mayer Brown LLP Tim Bishop is a Chicago-based partner in Mayer Brown LLP’s Supreme Court and Appellate Pratice. A former law clerk to Justice William Brennan, he is co-author of the treatise Supreme Court Practice (11th ed. 2019). Tim... View More
Principal, Financial Services, EY Prior to joining EY’s Financial Services practice in New York, Ms. Ferris served as Senior Counsel with the Office of Associate Chief Counsel (International). In this position, Ms. Ferris worked on matters rela... View More
Director of Wealth Workflow, Refinitiv Peter Chagalis has dedicated over 20 years to solving the needs of Financial Advisors, focusing on customer information and its use within the overall workflow. In his current position as Director of Wealt... View More
Partner, Morgan, Lewis & Bockius LLP Grace Speights is a partner at Morgan Lewis, resident in the Firm’s Washington, D.C. Office. Grace serves as the Global Leader of Morgan Lewis’ Labor and Employment Practice. In that role she is responsible f... View More
Principal, PwC Jay Klein joined PwC in 2016 as a Principal in the tax asset management, banking, and capital markets practices. Jay is the Asset & Wealth Management financial products tax leader and advises funds and financial institutions on t... View More
Chris Nobles is Division Executive for Mediant, a BetaNXT business. Joining Mediant in 2003 as Director of Software Engineering, he brings more than 20 years of experience leading commercial enterprise software implementations and integrations, pri... View More
Partner,, Sidley Austin Ranah Esmaili is a partner in Sidley Austin’s Securities Regulatory Enforcement Practice Group. Ranah joined Sidley from the SEC’s Division of Enforcement, where she served as Assistant Director of the Asset Management U... View More
Senior Vice President, IBM Services Mark Foster is Senior Vice President, IBM Services. Mark leads IBM’s professional services business, which spans Global Business Services and Global Technology Services – a combined $48 billion business and ne... View More
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.
Meet SIFMA Sources: A Quick Walk-Through
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.