Roundtable Name
The Compliance Roundtable
Date
February 19th - 25th
Location and Hotel
TBD
Description
A roundtable built exclusively for those that keep their firm's advisors in line and the regulators at bay.
Past Wealth Firms Attended
Allstate, Avantax, CFD, CoastalOne, Concorde, Farmers Insurance, Geneos, Hammond ILES, Hightower, Independent Financial Group, Leaders Group, Lion Street Financial Group, Lincoln Investment, LPL, M Financial Group, National Life Group, Osaic, Raymond James, SFA
Typical Attendees
Chief Compliance Officers, Chief Supervision Officers and Compliance Leadership
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 critical learnings, rich memories along with plenty of great ideas to take with you and share.
Roundtable Infographic
Roundtable Book
Top 9 Takeaways