C&L Regional Seminar: Southeast

Where the Compliance & Legal Community Connects

Join SIFMA’s Compliance & Legal Society in Charlotte for the C&L Regional Seminar: Southeast.

This one-day program brings together compliance and legal professionals from across the capital markets to discuss regulatory developments, share practical perspectives, and connect with peers facing similar challenges across broker-dealers, asset managers, and wealth management firms.

What You'll Learn

The C&L Regional Seminar: Southeast brings together compliance and legal professionals from across the capital markets for a focused, in-person exchange on the regulatory and supervisory issues shaping the industry today.
Designed for professionals at broker-dealers, asset managers, and wealth management firms, the seminar provides timely insight and practical guidance relevant across experience levels—from those building expertise to those leading programs and teams.

Participants will:

Gain perspective on current and emerging regulatory and compliance priorities affecting capital markets firms.

Benchmark policies, controls, and compliance frameworks across firms and business models.

Learn practical approaches to supervision, governance, and risk management that can be applied in day-to-day roles.

Connect with peers and leaders from the compliance and legal community across the Southeast region.