SIFMA C&L Society Update: November 2024 Edition
SIFMA C&L Society
The leading forum for compliance and legal professionals working in financial services, brought to you by SIFMA.
Greetings and welcome to the SIFMA C&L Society’s November Update! To receive this newsletter and other updates in your inbox, sign up here.
Turkeys and Breakouts!
The turkey or the turducken? ?? Current Compliance Issues in Investment Banking or Life After Chevron: Does It Really Change Anything? ???
Decisions, decisions! Just in time for Black Friday scrolling, we’ve posted 70+ breakout sessions for the 2025 C&L Annual Seminar. Plan your personal agenda across eight dedicated tracks: Banking [BKG], Capital Markets [CPM], Compliance [CPL, DE&I [DEI], Ethics [ETHICS], Litigation, Enforcement, Legal [LIT], Retail, Private Client, Arbitration [RPC], and Technology [TECH].?
What sets this year’s breakouts apart??
??60-Minute Sessions: Find out what you need to know in one hour – expert insights, without the filler.?
??Repeated Sessions: Select sessions are repeated throughout the Seminar - hit all your top choices, no tradeoffs.?
??CLE Eligible: Our program will be eligible for CLE credits in multiple states. Choose the CLE add-on when registering and easily manage your attendance onsite with our mobile app.?
While you’re browsing, be sure to check out all the program details we’ve posted to date – including a night of live music from the Night Owls at Austin’s famed Brazos Hall. We’ll be sharing some exciting announcements for our general session programming and main stage speakers soon.?
Early bird rates are available through January 24 and our hotel block opens in December. Register today to save your spot at our lowest registration rates!?
From our team to yours, our very best wishes for a happy Thanksgiving.?
FEATURED EVENTS
Gain insight into critical issues for compliance and legal professionals in financial services with these industry-leading events:?
SIFMA Member Briefing: The US Economic Outlook?
December 5, 2024 | Virtual | Register Today
C&L Annual Seminar
March 23-26, 2025 | Austin, TX | Register Today
AML 2025
May 13-14, 2025 | Washington, DC | Registration Opens Soon!
View more events at?www.sifma.org/events?
FEATURED COMMENTS & FILINGS
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CFB Board’s Regulatory Regime for CFP Certificants?
SIFMA has released a new white paper analyzing the risks to financial services firms associated with the Certified Financial Planner (CFB) Board’s continually expanding role as a de facto private regulator for CFP Certificants. SIFMA is comprised of hundreds of member firms that employ tens of thousands of individuals who hold the CFP private certification. Over the past nearly two decades, CFP Board has continued to expand and grow its own regulatory regime for CFP Certificants. This white paper addresses this expanding regulatory regime.
US Treasury Central Clearing: Industry Considerations Report?
As a result of new U.S. Securities and Exchange Commission rules, market participants need to make appropriate arrangements to have their Treasury securities transactions cleared. The rule’s first compliance date is March 31, 2025; Treasury cash clearing is required to go into effect by the end of 2025; and repo clearing is required to go into effect by June 30, 2026. SIFMA and Ernst & Young LLP have published the U.S. Treasury Central Clearing: Industry Considerations Report to capture and organize the various considerations and activities sell-side and buy-side market participants should evaluate while assessing and completing preparations for the transition.?
Comment Letters:?
Amicus Briefs:?
Newsroom:?
FEATURED VIDEO
Conversations at the Intersection of Public Policy and Finance?
Each year, SIFMA's Annual Meeting gathers the most influential voices shaping the capital markets. Select sessions are now available on demand. Watch to explore the issues and opportunities that matter most for the industry, the markets, and the economy.?Watch Now?
TOP 5 POPULAR RESOURCES
CONNECT WITH C&L
The SIFMA C&L Society is a community of exceptional compliance and legal professionals from across the financial services industry. Visit us at www.sifma.org/cl?and visit our Showcase page on LinkedIn.?