2011 New York Fall Compliance & Legal Seminar

October 25, 2011
SIFMA Compliance & Legal Society
Marriott Marquis1535 Broadway
New York, NY 10036

Join leading legal and compliance professionals from securities industry and financial services firms in the New York region at this important seminar. Topics to be addressed at this year's program include:

  • Current Regulatory Issues
  • OTC Derivatives/SEFs
  • Retail Compliance and Advisory Issues
  • Tone From the Top: How To Implement an Effective Ethics Program
  • Institutional Legal and Compliance Roundtable
  • Enforcement and Exams

Featured Guest Speaker:
U.S. Securities and Exchange Commissioner Elisse B. Walter

Fox Rothschild is proud to sponsor the morning's continental breakfast.


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