News & Commentary on Financial Regulatory and Compliance Matters
General Session Panel Highlights
One-on-One with SEC Chairman Jay Clayton and SIFMA President & CEO Kenneth E. Bentsen, Jr.
The conference began with a one-on-one discussion with SEC Commissioner Clayton. He applauded the agency for its diverse talent and an ability to coordinate effectively with other state and federal regulators and FINRA.
Commissioner Clayton acknowledged…
Greenberg Traurig’s Pete Michaels, shareholder in the Financial Regulatory and Compliance and Securities Litigation practices, will be participating in the SIFMA Compliance and Legal Society (C&L) Regional Seminar, Sept. 28, 2015, in Charlotte, North Carolina.
Michaels will be a panelist in the session titled “Chief Compliance Officer (CCO) Roundtable,” moderated by Dana S…