Roundtable Name
The Compliance Too Roundtable
Location and Hotel
Mountain Brook, AL at The Grand Bohemian Hotel Mountain Brook Autograph Collection
Date
October 21st - 23rd
Ideal Wealth Firm Attendees
Chief Compliance Officers, Chief Surveillance Officers, Chief Legal Officers, Chief Risk Officers, & Senior Compliance Leaders
Description
A roundtable dedicated to enabling enterprise wealth firm compliance officers to explore, debate, and brainstorm meaningful oversight issues within the wealth firm regulatory kaleidoscope.
Partner Focus
Compliance Suitability and Surveillance, Cyber Security, Books & Records, and Vendor Management.
Format
The Beacon team weaves together case studies, breakout "brainstorming" sessions, and attendee community questions. Our full day of thought leadership is encased in a high touch Beacon experience that leads to rich memories along with plenty of great ideas to take home.
Roundtable Infographic
Roundtable Book
Top 9 Takeaways
Peer Referral