SIFMA 2024
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SIFMA Annual 2024: Penny Pennington on the future of financial advice
The first in a series of reports on keynote speeches at the SIFMA Annual in New York.
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SIFMA 2024: Off-channel communications strategies and solutions
At the SIFMA annual conference event last week, off-channel communication recordkeeping challenges and possible solutions proved to be a popular panel topic.
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SIFMA 2024: Panelists tackle SEC proposal on predictive analytic tools
Sharp differences emerged during discussion on neutralizing conflicts of interest created by algorithms.
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SIFMA 2024: Robert Cook talks about Reg BI and CAT
FINRA’s CEO discussed how the SEC’s flurry of rulemaking has affected his agency.
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SIFMA 2024: SEC’s Grewal talks about insider trading, fines, CISOs and AI washing
At SIFMA’s Annual Conference this week, regulators, industry practitioners and advisers gathered to discuss the state of compliance and the legal environment in 2024.