For 40 years, SIFMA Ops has been the go-to resource for trusted, expert, up-to-date information about the financial services operations industry. The program convenes leading operations professionals in a unique, three day forum to explore pressing industry developments and build important relationships. At SIFMA Ops, operations professionals identify and streamline redundant and manual processes in a quest to continually enhance firm efficiency and performance.
For further details, go to http://www.sifma.org/ops2013/home.
Please join us for the following noteworthy events that will be held at the Marriott Wardman Park Hotel May 1–3, 2013:
ICI’s 55th Annual General Membership Meeting (GMM)
ICI’s Mutual Fund Compliance Programs Conference
ICI’s Operations and Technology Conference
IDC’s Fund Directors Workshop
A Regulatory Address by SEC Chairman Mary Jo White
ICI’s Board of Governors, IDC’s Governing Council, and numerous ICI committees also will be meeting at the Marriott Wardman. These events will bring together the most senior leaders and representatives from diverse areas of the industry for important discussions about the industry’s unchanging commitment to fund investors.
For further details, go to http://gmm.ici.org/gmm/program_gmm.
SEC Contact: Linda Brenner, (202) 326-5883 or brenner@ici.org.
SEC Headquarters, Washington, D.C. Public roundtable to discuss the unique regulatory issues surrounding the execution, clearanceand settlement of microcap securities. It will feature in-depth discussions of key regulatory issues including Anti-Money Laundering monitoring, compliance challenges, and potential changes to the regulatory framework. Panelists will include representatives from The Deposit Trust Company, broker-dealers, the Financial Industry Regulatory Authority and others.
For more info click here.
Women in Finance: the Role of Sponsorship will bring together some of the industry’s most innovative and inspiring women to share insights on charting a fulfilling and accomplished career. The seminar will feature expert panel discussions on some of the most controversial topics facing women in finance today, and provide inspiration to navigate a successful career in financial services. Open to SIFMA members only; registration is complimentary.
Featured speakers:
*Sylvia Ann Hewlett: Economist and Founder, The Center for Talent Innovation.
* Lori Ann Bean: Partner, Clifford Chance
* Elaine Mandelbaum: Managing Director & Deputy General Counsel, Institutional Clients Group, Citi
* Asahi Pompey: Managing Director & Head of Americas Investment Banking Division Compliance, Goldman Sachs
For further details, go to http://www.sifma.org/wif2013/home or contact Laura Cunningham at lcunningham@sifma.org.
Westin South Coast Plaza Balboa Room, Costa Mesa CA
Compliance Boot Camps
FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace.
Half-Day Compliance Boot Camps
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
For further details, registration, and other Boot Camp events, go to http://www.finra.org/Industry/Education/ComplianceBootCamp.
Co-sponsored by the Securities and Exchange Commission and the Business Law Section of the Colorado Bar Association
Program Highlights:
The Rocky Mountain Region's PREMIER securities conference presented by many of the country's most knowledgeable securities practitioners!
Unmatched networking opportunities
Hear from local, statewide and national practice leaders
Topics include:
- Enforcement
- The Defense Perspective
- Regulated Entities
- Current Issues in Corporation Governance
- Accounting and Auditing Standards and Regulations
- Current Issues in Corporation Finance
- Emerging Growth Company Financing, Reg D General Solicitation and Crowd Funding
- Ethics
The 45th Annual Rocky Mountain Securities Conference provides a line-up of presenters who are well known throughout the securities profession and whose observations have earned the respect and attention of the investment community.
Program Description:
You would have to travel to Washington DC or New York paying thousands of dollars to find a conference that offers as much as this for a fraction of the cost. Reserve your place and be part of this very special event right here in Denver!
If you want to get the facts from the experts, don't miss this conference!
FINRA's Compliance Boot Camps provide a broad view of essential compliance concepts. Through a combination of self-study and classroom training, participants gain valuable insights on compliance activities for immediate application to the workplace.
Half-Day Compliance Boot Camps
Half-day Compliance Boot Camps focus on basic regulatory requirements and compliance responsibilities. Participants are required to complete approximately three hours of assigned pre-course readings and online coursework prior to attending the session. Pre-course work is assigned and distributed approximately one week before the session. This course is designed for compliance professionals who are new to the role or those looking to reinforce their understanding of regulatory requirements and compliance responsibilities.
For further details, registration, and other Boot Camp events, go to http://www.finra.org/Industry/Education/ComplianceBootCamp.
For further details or question, go to www.sifma.org/blastemails/societies/sos/sosgolfouting052013_tev1.html or contact Elsa Ballard at
eballard@sifma.org.
Renaissance Washington, DC Hotel , Washington, DC Join practitioners, peers and regulators to exchange ideas on a range of compliance and regulatory topics. You can choose to attend in person or view sessions online
Two Ways to Participate
Attend in-person.
Participate via live streaming video broadcast. Online viewers receive access to all conference materials.
Join securities industry practitioners, peers and regulators to exchange ideas on timely compliance and regulatory topics.
For further details, including speakers, agenda, and conference sessions, go to http://www.finra.org/Industry/Education/ConferencesEvents/AnnualConference.
The nomination of Mary Jo White for SEC Chairman signals a new era of aggressive enforcement at the SEC – as Ms. White shall become the first former prosecutor to head the agency in its 79 year history.
As the RCA advised in early November, the President’s second term agenda shall significantly impact the following areas for Fund Managers and Registered Investment Advisers:
Operations
Accounting Practices (Valuation)
Compliance
Risk Management
Enforcement
Taxation
Consequently, Asset Management executives must formulate a plan to protect their respective firms.
In order to hurdle these challenges and seize the opportunities, the RCA has assembled its Law and Masters Concentration Faculty and Guest Lectures to supply invaluable and comprehensive insight, as well as practical and actionable guidance.
Learn from THE LARGEST COLLECTION OF SENIOR FEDERAL INVESTIGATORS, PROSECUTORS AND REGULATORS, who will address the latest developments, areas of focus, and new regulatory challenges for Hedge Funds, Private Equity, Venture and Investment Advisers.
The balance of the Faculty and Guest Lecturers shall explore emerging opportunities, examine how to refine operational and compliance processes as well as enhance risk management and governance practices to capture new Allocator mandates.
For more information please call 800-306-6133 or you may register by
https://www.rcaonline.org/symposia/compliance-operations-and-regulation-boston-symposia/register-now.
SEC Contact: Kate Chatterson, Executive Director, (646) 415-4272 or kchatterson@rcaonline.org.
Securities Exchange Act (SEA) Rule 17-a-5(d) requires, among other things, that every broker or dealer registered pursuant to Section 15 of the SEA file an annual audit report. A completed SEC Form X-17A-5 Part III must accompany a member firm's annual audit report.
Member firms may request an extension of time to file their annual audit report in accordance with the relevant policies posted on FINRA's website. Filings are due no later than 11:59 p.m. ET on the due date.
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C-I Story Board worksheets- - for a full perspective on what's driving the financial industry & a window to future regulation.
Sr Compliance Officer (4-7-9-10-24-63 Licenses) seeks job with Medium/Large Global Firm in NY Metro area. Experience: Institutional, Retail, Trade Desks (Options, Equity, FI, Cap Mkts Products), E-Comm., Reg'y Exams, People Manager, Send Inquiries, Contact Info for candidate through Howard@Compliance-Insights.com.
JOB AVAILABLE
Well-known NY-based Global Trading House needs full-time Compliance Officer for Futures and Commodities. Reqs: 5-7 years, Series 14-24-27-63 Licenses, Working Knowledge of Regs, Practices of SEC, FINRA, CFTC, NFA, & Major Exchanges. Cover & Resume to Recruiter: kfreehill@smythexec.com
