SIFMA Association News
SIFMA provides free price data on agency bonds online
SIFMA SmartBrief | Mar 19, 2010
SIFMA's price data on thousands of federal agency bonds are available via a feed from the Financial Industry Regulatory Authority. "We are pleased to add even more information to our InvestinginBonds.com Web site, which was created as a free, noncommercial site solely designed to help educate investors," said Rob Toomey, managing director and associate general counsel at SIFMA. "The addition of government agency prices enriches the content already available on the site, making it an even better resource and a more effective way to promote transparency in the bond markets." Read SIFMA's news release regarding the data on bond prices.
Asset Management Report, sell-side issues and legislative/regulatory proposals
SIFMA SmartBrief | Mar 19, 2010
Learn about SIFMA's advocacy efforts for OTC derivatives
SIFMA SmartBrief | Mar 19, 2010
SIFMA's Private Client Conference -- April 22 and 23 at Grand Hyatt New York in New York City
SIFMA SmartBrief | Mar 19, 2010
SIFMA's 2010 Private Client Conference, "A New Age of Wealth Management," will build on the strong foundation of SIFMA's conferences on sales and marketing, small firms, and independent firms to address how securities firms and financial advisers are working with clients to build wealth and recalibrate investment, retirement and savings strategies. The conference will also focus on how changes in the competitive landscape affect client service, business models of brokerage and investment advisory, and, ultimately, client choice. This conference is designed for CEOs and senior managers of private-client services at global, regional, independent and small broker-dealers; national sales managers; regional and branch managers; wealth-management directors; and individual financial advisers and investment consultants. Register!
Education luncheon: "Recent Regulatory Enforcement and Litigation Trends" -- April 6 at Bayard's in New York City
SIFMA SmartBrief | Mar 18, 2010
SIFMA's Internal Auditors Society will hold an education luncheon April 6 at Bayard's restaurant in New York City. The guest speaker will be Edward G. Turan, managing director and deputy general counsel at Citigroup as well as president of SIFMA's Compliance and Legal Society. His session is titled "Recent Regulatory Enforcement and Litigation Trends." Register!
Weekly news from Washington and Europe
SIFMA SmartBrief | Mar 18, 2010
SIFMA's 2010 Operations Conference & Exhibit -- May 4 to 7 at Desert Springs JW Marriott Resort & Spa in Palm Desert, Calif.
SIFMA SmartBrief | Mar 18, 2010
For 37 years, SIFMA's Operations Conference & Exhibit has gathered together senior operations professionals from across the financial industry. Conference attendees and participants include representatives from broker-dealers -- regional and primary dealers -- interdealer brokers, banks, financial-services vendors, exchanges, regulators, transfer agents and clearance firms, as well as an increasing presence from the buy side. In 2010, this event will develop its program to encompass and address the most critical changes and reform impacting the financial industry since the 1930s. Register for this event for the opportunity to obtain diverse perspectives on operational matters impacting your bottom line, as well as getting a clearer vision of industry trends and proposed business-process enhancements.
Rate Update from Fed, Treasury and other financial information
SIFMA SmartBrief | Mar 17, 2010
SIFMA's Insurance- and Risk-Linked Securities Conference -- THURSDAY at Grand Hyatt New York in New York City
SIFMA SmartBrief | Mar 17, 2010
SIFMA's 2010 Insurance- and Risk-Linked Securities Conference will bring together key ILS professionals to discuss issues and strategies for the year. This conference is your opportunity to engage key professionals in the private and public sectors while examining the market's evolution in 2009 and gauge how well we have weathered the financial crisis. The program's focus will continue to be on property natural-catastrophe risk, but we will also look at the potential for the life market to re-emerge. Register!
SIFMA's Internal Auditors Society will hold networking and discussion reception -- March 24 in New York City
SIFMA SmartBrief | Mar 16, 2010
SIFMA's Internal Auditors Society is offering a training session that will concentrate on "Assessing the Quality of Enterprise Risk Management in Securities Firms With Emerging Requirements and Frameworks" from 5:30 to 7:30 p.m. Eastern on March 24 at the SIFMA Conference Center in New York City. Dr. Robert M. Mark, CEO of Black Diamond Risk Enterprises and vice chairman of the Professional Risk Managers' International Association, will lead a discussion on practical aspects of assessing the quality of risk management at securities firms from an internal and external regulatory point of view based on emerging policy, methodology, and data and technology infrastructure. Register!
Regulatory Update -- SIFMA's advocacy for regulatory reform
SIFMA SmartBrief | Mar 16, 2010
News, hearings and more affecting Private Client issues
SIFMA SmartBrief | Mar 15, 2010
SIFMA's Financial Services Technology Expo -- June 22 to 24 at Hilton New York in New York City
SIFMA SmartBrief | Mar 15, 2010
Participants of SIFMA's Financial Services Technology Expo will have the opportunity learn about the changing regulatory landscape and what that means to the industry for reporting requirements, oversight and risk management. Companies will turn to technology professionals to develop the infrastructure to compile, process and report information for compliance of new laws and regulations. Register!
SIFMA's Internal Auditors Society will hold a full-day seminar on information-security controls -- April 21 in New York City
SIFMA SmartBrief | Mar 12, 2010
SIFMA's Internal Auditors Society is offering a full-day training session that will concentrate on information-security controls. Information-security topics include electronic discovery, database security, cloud computing's impact on privacy, risk management for third-party vendors and the 2010 PricewaterhouseCoopers Information Security Survey. Experts from public and private firms will lead each session and present attendees with useful information to enhance their audit and review programs. Register!
SIFMA's Insurance- and Risk-Linked Securities Conference -- March 18 at Grand Hyatt New York in New York City
SIFMA SmartBrief | Mar 11, 2010
SIFMA's 2010 Insurance- and Risk-Linked Securities Conference will bring together key ILS professionals to discuss issues and strategies for the year. This conference is your opportunity to engage key professionals in the private and public sectors while examining the market's evolution in 2009 and gauge how well we have weathered the financial crisis. The program's focus will continue to be on property natural-catastrophe risk, but we will also look at the potential for the life market to re-emerge. Register!
SIFMA's Anti-Money Laundering and Financial Crimes Conference -- WEDNESDAY at Grand Hyatt New York in New York City
SIFMA SmartBrief | Feb 25, 2010
In its 10th year, SIFMA's Anti-Money Laundering and Financial Crimes Conference is the securities industry's premier event for compliance and practices against money laundering. The conference brings together leading experts from the industry, regulatory agencies and law enforcement to discuss the most recent developments and requirements in anti-money-laundering law. Conference topics include recent enforcement actions, what firms can expect on examinations, Know Your Customer procedures, due diligence requirements for correspondent and private banking accounts, how introducing and clearing firms coordinate AML responsibilities, and suspicious activity trends and reporting. Register! This conference has sold out every year and draws hundreds of participants.
SIFMA's Anti-Money Laundering and Financial Crimes Conference -- March 3 at Grand Hyatt New York in New York City
SIFMA SmartBrief | Feb 22, 2010
In its 10th year, SIFMA's Anti-Money Laundering and Financial Crimes Conference is the securities industry's premier event for compliance and practices against money laundering. The conference brings together leading experts from the industry, regulatory agencies and law enforcement to discuss the most recent developments and requirements in anti-money-laundering law. Conference topics include recent enforcement actions, what firms can expect on examinations, Know Your Customer procedures, due diligence requirements for correspondent and private banking accounts, how introducing and clearing firms coordinate AML responsibilities, and suspicious activity trends and reporting. Register! This conference has sold out every year and draws hundreds of participants.
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