As a chief compliance officer or professional, you may have noticed, there aren’t many opportunities to connect and engage in discussion with your peers. The inaugural ComplyConnect Conference & Expo offers you that opportunity…and more!
From November 8-10, take a front row seat to the latest news and trends that are shaping the compliance, risk and governance world. We have joined force with RIA in a Box, NRS, ITEGRIA and illumis to create the inaugural ComplyConnect Conference & Expo. Spend a few days at the beautiful Omni Barton Creek Resort & Spa in Austin, Texas and hear from the regulatory experts who are shaping the industry.
Here’s a sneak peek into what we’re offering!
A sneak peek into the educational sessions offered at the ComplyConnect compliance conference
Check out a few of the educational sessions that make the ComplyConnect Conference & Expo worth attending.
- Cryptocurrencies and Digital Assets
While many investors use cryptocurrencies and digital assets to serve their clients, there are many bad actors who are using cryptocurrencies and digital assets to scam and swindle. Technological advancements, such as cryptocurrencies and digital assets, present threats to the market because they are difficult to trace and can actually help perpetrators hide their identities. In a recent report, the North American Securities Administrators Association (NASAA) said “State securities regulators have been, are and will continue to work to protect investors from threats derived from the past, the present and the future. Simply put, our mission is an important today as it was more than a century ago and will be a century from now.”
At the ComplyConnect Conference & Expo, you’ll learn about these tricky-to-trace assets and how your firm can solidify its tactical compliance strategies to protect yourself and your clients.
2. Regulatory Examinations
Fact: regulators are increasing their exam pace and the depth of their exams. Is your firm prepared? These exams evaluate the ability and preparedness of your firm’s key personnel, processes and records to determine if your firm’s commitment to compliance meet regulatory expectations. Learn what regulators are looking for and what your firm can do to protect itself against violations.
3. Living with the New Investment Advisor (IA) Marketing Rule
The Securities and Exchange Commission’s (SEC) new marketing rule for investment advisors (IA) goes into effect on Nov. 4. The regulator emphasizes that all advertisements circulated on or after the compliance date are subject to the new marketing rule.
In the world of compliance, we have to adapt quickly to rule changes, and we know that can be challenging to juggle among your many other responsibilities. Learn the ins and outs of the new IA marketing rule and how your compliance program can adapt to these changes.
4. The SEC’s Proposed Cybersecurity Rule
Cybersecurity is an ever-increasing area of risk for firms. The SEC recognizes this and has proposed amendments to the cybersecurity rule that would increase the disclosure requirements for investors. The proposed amendments are intended to better inform investors about a registrant’s risk management, strategy and governance and to provide timely notification to investors of material cybersecurity incidents. What could your firm look like if this rule is passed? Attend the ComplyConnect Conference & Expo and find out!
5. Reg Best Interest
It’s no secret that the SEC takes protecting the market seriously. Their extensive rules reflect that. In addition to the other rules the regulator has established, conference attendees will learn more about the Regulation Best Interest (Reg BI) rule. Conference attendees will have the opportunity to hear from industry experts, glean key takeaways from stories about what has worked at other firms and apply best practices in Reg BI.
Excited? So are we! Registration is open! Visit complyconnectexpo.com to learn more and register today!