November event focuses on compliance and regulatory trends and best practices, including cryptocurrency, cybersecurity, ESG and the SEC’s new IA Marketing Rule

Admiral William H. McRaven (Ret.) and SEC Director Richard R. Best to serve as keynote speakers

New York, Sept. 20, 2022 – ComplySci, the leading provider of regulatory technology and compliance for the financial services sector and founding sponsor of the inaugural ComplyConnect Conference & Expo, announced today the event’s full agenda and slate of speakers.

The ComplyConnect Conference & Expo will be held Nov. 8 – 10 at the Omni Barton Creek Resort & Spa in Austin, Texas, and is co-sponsored by ComplySci’s portfolio of firms – NRS, RIA in a Box, illumis and ITEGRIA. The three-day event will bring together regulatory and compliance professionals, industry leaders and technology experts from across the U.S. to discuss current trends, industry best practices and the impact of recent Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulations.

The conference will expand on the legacy NRS Fall Compliance Conference and offer Investment Adviser Certified Compliance Professional (IACCP), continuing legal education (CLE), continuing professional education (CPE) and certified financial planner (CFP) continuing education credits, with keynote addresses from:

  • Retired U.S. Navy Four-Star Admiral and former Chancellor of the University of Texas System William H. McRaven.
  • SEC Director of the Division of Examinations Richard R. Best.

Other notable sessions include:

  • The SEC’s Proposed Cybersecurity Rule: Considerations in Vendor Due Diligence with Bank OZK’s Director of Data Privacy Karen Aavik.
  • Developing Policies and Procedures for Cryptocurrency featuring Thompson Hine LLP Partner Cassandra Borchers.
  • Recent Trends in Investment Adviser Enforcement Proceedings with EMK PLLC’s Managing Member Elizabeth Knoblock and Eversheds Sutherland (US) LLP Partner John Walsh.

In addition, attendees can take advantage of active compliance analysis exploration opportunities, meet with top compliance resource providers and network with peers and industry leaders.

“We are incredibly excited to have such a distinguished and well-rounded group of speakers for the first ComplyConnect Conference & Expo,” said NRS President John Gebauer. “NRS has been a long-standing leader in compliance education, which is why we are so pleased our annual fall conference has expanded and become part of ComplyConnect. With a wide-ranging agenda, compliance, governance and risk professionals will have the opportunity to discuss the topics most critical to them and stay up to date on the trends and topics that will shape the regulatory landscape in 2023 and beyond.”

Registration information
Interested parties can register at complyconnectexpo.com. Pre-conference workshops, including an introductory course for professionals new to IA compliance and a women in compliance roundtable, will be held on Nov. 7.

Learn more about the ComplyConnect Conference & Expo, including registration and agenda offerings, sponsorships opportunities and more at complyconnectexpo.com.

About ComplySci

ComplySci believes advanced compliance technology empowers compliance professionals to transform their business. More than 7,000 customers, including some of the world’s largest financial institutions, rely on ComplySci’s scalable and sophisticated platform to stay ahead of risk and unlock the strategic potential of their compliance data. The company’s portfolio of firms includes ComplySci, RIA in a Box, illumis, a ComplySci company, NRS, a ComplySci company, and ITEGRIA, a division of RIA in a Box.

Together, the portfolio of firms offers a full suite of governance, risk and compliance (GRC) consulting, technology, managed services, analytics and outsourcing solutions for the financial services industry. Its regulatory technology solutions help compliance organizations identify, monitor, manage and report on risk and conflicts of interest, including personal trading, gifts and entertainment, political contributions, outside business affiliations and other Code of Ethics violations. Learn more at complysci.com.

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Media Inquiries
Donald Cutler / Lorene Yue
Haven Tower Group
424-317-4850 / 424-317-4854
dcutler@haventower.com / lyue@haventower.com