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March 2021

NSCP Virtual Regulatory Interchange Webinar with FINRA

March 9
Wegener

Oyster Consulting's Ed Wegener will be participating in the March 9th NSCP Regulatory Interchange,  which provides an informal virtual setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Industry moderators will prompt questions and topics for discussion with the regulators based on input from the attendees. Hear directly from regulatory speakers representing: SEC FINRA Department of Labor / ESBA NASAA and State Regulators

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April 2021

FMA’s 2021 Securities Compliance Seminar

April 29 - April 30

This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants, and program discussions and workshops are structured for peer-to-peer learning. Open discussion is encouraged to develop solutions to key industry challenges and regulatory “hot button” priorities.

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July 2021

FIA-SIFMA AMG Asset Management Derivatives Forum

July 14 - July 16

FIA and SIFMA AMG are pleased to announce the seventh annual Asset Management Derivatives Forum will be held on July 14-16, 2021 at the Ritz Carlton Laguna Nigel in Dana Point, CA.

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October 2021

SIFMA Operations Conference & Exhibition

October 4 - October 7

Details to come.

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SIFMA C&L Annual Seminar

October 13 - October 15

Details to come as they are published.

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