OUR COMPLIANCE TOO ROUNDTABLE FOCUS:
Explore, debate, and brainstorm meaningful oversight issues within the wealth firm regulatory kaleidoscope.
Location: Mountain Brook, AL
Audience: Wealth Firm Compliance Professionals
Past Attendees: Chief Compliance Officers, Chief Surveillance Officers, Chief Legal Officers, Chief Risk Officers, & Senior Compliance Leaders
Past Wealth Firms Attended: Allstate, Atria Wealth Solutions, Cambridge Investment Research, Cetera Wealth, CFD Investments, Geneos Wealth Management, Farmers Insurance, First Command, Independent Financial Group, Hightower Securities, Hilltop Securities, Lincoln Investment Planning, Kestra, Lion Street An Integrity Company, LPL, M Financial, National Life, Osaic, Private Client Services, The Leaders Group, The Investment Center, The Strategic Financial Alliance, Realta Wealth, United Planners Financial Services, and more.
Our roundtable dedicated to enabling enterprise wealth firm compliance officers to explore, debate, and brainstorm meaningful oversight issues within the wealth firm regulatory kaleidoscope.
The Subject Matter will include: Artificial Intelligence & Oversight, The Marketing Rule, Cyber Security, Data Security & Hygiene, The Evolving Branch Audit Dynamic, and more.
Additionally Topics:
- Case Studies: Researching & In Design (Typically Released 30 days in advance)
- Breakout Sessions: Researching & In Design (Typically Released 30 days in advance)
- Community Questions: In Progress of Gathering (Gathered from Attendees)
