From March 19–22, the Securities Industry and Financial Markets Association (“SIFMA”) hosted its Annual Compliance & Legal Society Seminar in San Diego, California. This seminar is the top conference for financial institutions, compliance officers, and their in-house and outside counsel.
Every year, the seminar panelists and attendees make predictions on the regulatory and litigation developments for the year ahead. Compared to years past, this year’s conference proved to be quite remarkable because of the rapid changes in the industry and the uncertainty of government regulation and enforcement with the new administration in Washington, D.C.
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