OUR COMPLIANCE ROUNDTABLE FOCUS:
Issues and Challenges Facing Compliance Teams Daily
Location: Orlando, FL
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, Cuso Financial, Geneos Wealth Management, Farmers Insurance, First Command, Independent Financial Group, Hammond Iles, Hightower Securities, Hilltop Securities, Independent Financial, Investment Planners, Lincoln Investment, Kestra, Lion Street An Integrity Company, LPL, M Financial, National Life, Osaic, Private Client Services, Prospera, Raymond James, SFA, The Leaders Group, The Investment Center, The Strategic Financial Alliance, Realta Wealth, United Planners Financial Services, and more.
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
