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
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
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
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