Conferences & Events

Roundtable – San Francisco, CA

March 30, 2017 - This session is open to RIA and BD compliance professionals. We will discuss current SEC and FINRA compliance topics including: Update on Department of Labor (DOL) Office of Compliance Inspections and Examinations (OCIE) Risk Alert Cybersecurity regulation in New York FINRA Priorities Letter 2017

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Compliance Conference 2017

Join us June 21-23 at the award-winning Eau Palm Beach Resort & Spa in Palm Beach, Florida. Compliance Conference 2017 is a unique opportunity for your compliance team and decision makers to come together with industry experts, peers and regulators to discuss proactive compliance strategies, identify how rules impact your business and discover best practices for building a stronger compliance program.

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