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Compliance on the Charles: Boston Regional Summit

June 14- | The Harvard Club of Boston

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Conferences & Events

6/6/18 – 6/7/18: UNLEASH 2018 Summit

Join NCS Regulatory Compliance on June 6-7, 2018 at UNLEASH 2018 in New York, NY. Attend Unleash 2018 and learn how Actiance and Smarsh are redefining archiving for compliance – helping you to capture it all, reveal the risk, and respond now. Engage Experience what’s new in communications compliance, archiving, and...

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10/28/18 – 10/31/18: Charles Schwab IMPACT

Join NCS Regulatory Compliance on October 28-31, 2018 at IMPACT 2018 in Washington, DC. IMPACT 2017 was the industry’s largest gathering of experts and forward-thinking advisors—and we left newly equipped and inspired to leverage the industry optimism and propel our businesses forward. This year is shaping up to be even better....

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10/8/18 – 10/9/18: FPA of Minnesota Annual Symposium

Join NCS Regulatory Compliance on October 8-9, 2018 at The FPA of Minnesota Annual Symposium in Minneapolis, MN. Our own Lori Weston, Vice President at NCS Regulatory Compliance, will be presenting on “Investment Adviser Hot Topics” on Tuesday afternoon from 1:50pm – 2:40pm. Mark your calendar now.  The Symposium Committee...

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05/21/18 – 05/23/18: FINRA Annual Conference

Join NCS Regulatory Compliance on May 21-23, 2018 at the FINRA Annual Conference in the always-exciting Washington, DC. We’re located at Booth #20! FINRA’s premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers industry...

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04/19/18 – 04/21/18: SSG Annual Conference

Join NCS Regulatory Compliance on April 19-21, 2018 at the SSG Annual Conference in San Diego, CA. Our own Alan Foxman, Vice President at NCS Regulatory Compliance, will be presenting on “Custody Rule Implications: Use of SLOAs and Other Asset Transfers,” on Saturday from 8:00 a.m. – 8:55 a.m. Meet with your peers...

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03/08/18: Delray Compliance Summit

Our Delray Compliance Summit was held on March 8th in Delray Beach, FL. Our keynote speaker, Jim Reese, Acting Chief of Risk and Strategy for the SEC’s OCIE discussed 2018 exam priorities in a Q&A session moderated by David Lui, Co-editor of Modern Compliance.

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06/21/17 – 06/23/17: National Compliance Conference

We had a great time in Palm Beach at our Compliance Conference in June! Andrew “Buddy” Donohue kicked off our 2.5 day event with over 170 attendees and 26 educational sessions. A big thank you to our sponsors: Analytix, Charles Schwab, DeMarco Sciaccotta Wilkens & Dunleavy, LLP, Global Relay ,...

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