Issues Impacting Compliance Teams Daily


Location: The Ritz Carlton - New Orleans, LA

Typical Attendees: Compliance Team Members


Our Compliance Roundtable is our annual deep dive into the challenge enterprise wealth firms have managing the regulatory component of the business. We weave together case studies, community questions, breakout sessions, and partner thought leadership. Beyond, we bring our groups together for a family type experience that results is rich dialogue and deep long-term friendships. 


This year, we will be diving into:

  • SEC Risk Management: what that means for Investment Products and Technology
  • Information Security: Safeguards & Cyber Field Management
  • Data Management: Transcending beyond the traditional
  • Sec Marketing Rule: What has been learned and what needs to be done
  • The Wish List