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SIFMA C&L Society – Charlotte Regional Seminar

September 23, 2019

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SIFMA Charlotte

Oyster’s General Counsel Patrick M. Dennis and Managing Director Michael Segal will be attending the SIFMA C&L Society, Charlotte Regional Seminar on September 23, 2019. The C&L Society Charlotte Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage in the increasingly complex and changing regulatory and compliance arenas.

Prior to his role as General Counsel, Patrick M. Dennis was a Senior Vice President and Assistant General Counsel to Wachovia Securities, LLC (now Wells Fargo Advisors), or its predecessors. Patrick moved to Wells Fargo in 1998, where he was in charge of all litigation and regulatory matters affecting the retail brokerage firm. He managed securities litigation and arbitration matters until 2003 when he moved into a Senior Regulatory Counsel position. In that capacity, he handled a number of high-profile regulatory matters for the firm including, mutual fund breakpoints, mutual fund market timing, inactive fee-based accounts and closed end funds. Patrick also served as Senior Regulatory Counsel to Wachovia’s Investment Advisory line of business.

Michael Segal has 30 years of experience in the financial services industry. Michael specializes in trading and risk management, transition and vendor management and strategic and tactical planning for the following business lines: capital markets/wealth management, broker-dealers, RIAs, technology systems and service providers and clearing & custodian firms.  His leadership and team-building skills, along with a strong focus on implementing processes result in increased revenue, productivity and profit margins. Michael is a thought leader in electronic fixed income trading and a strong advocate for utilizing emerging technologies to promote operational efficiencies and increased market transparency.

 

 

Details

Date:
September 23, 2019
Event Category:
Website:
https://www.sifma.org/event/cl-charlotte-regional/

Organizer

SIFMA