Events

Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda

Events

Webinar - December 12, 2023 at 1:00 PM ET The SEC recently published its 2024 exam priorities, highlighting key examination and compliance priorities as it relates to many areas, including Regulation Best Interest and Investment Advisors. Later in the fall, the SEC’s enforcement branch reported 784 actions, with nearly $5 billion in fines, painting a clear [...] Read More

Best Interest Principles: DOL Fiduciary Rule and SEC Guidance

Events

Webinar: Oct 31, 2023 at 1 pm ET Is your firm keeping up with the latest regulatory expectations from the SEC and the Department of Labor? Join us for an insightful webinar that delves into the convergence of best interest principles across these regulatory bodies. On October 31, industry experts from Faegre Drinker, USA Financial [...] Read More

SIFMA C&L Regional Seminar NYC

Events

SIFMA C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices and guidance in the increasingly complex and changing regulatory and compliance arenas. New York Law School | October 19, 2023 Learn more and register. Meet Bill Donnell, VP Sales - Book now Read More

SIFMA C&L Regional Seminar Charlotte

Events

SIFMA C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices and guidance in the increasingly complex and changing regulatory and compliance arenas. Ritz-Carlton, Charlotte, NC | September 11, 2023 Learn more and register. Meet Randy Barnes, Director of Product and Sales Engineering

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ComplyConnect Conference & Expo

Events

Education. Training. Industry insight. It all comes together at the COMPLYConnect Conference and Expo. Take a front row seat to the latest news and trends shaping compliance, risk and governance, and hear direct from renowned industry leaders and regulatory authorities as they discuss the future of compliance and regulation. Experience unparalleled access to the resources […]

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Fearless Investing Summit

Events

Hosted by Nitrogen, the makers of Riskalyze, join 1,000+ wealth management professionals this fall at the #1 resort in Florida for three days of learning, connection, and growth. The Fearless Investing Summit is where financial advisors network with the fastest-growing firms in the country, learn how to scale their business, and join a community empowering […]

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NSCP 2023

Events

Meet InvestorCOM at the 2023 NSCP National Conference, on Oct 16-18 2023 at the Omni Dallas in Dallas, TX. The only conference that’s “For Compliance, By Compliance.” Meet Bill Donnell, VP Sales – Book now Meet Randy Barnes, Director of Product and Sales Engineering Meet Parham Nasseri, VP of Product and Regulatory Strategy – Book […]

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DOL’s Retrospective Review – A Practitioner’s Guide to Compliance

Events

On-demand Webinar >> The Department of Labor’s first retrospective review deadline for PTE 2020-02 is days away, requiring firms to certify that they have policies and procedures and a prudent process in place to achieve PTE 2020-02 compliance. Watch this on-demand webinar to hear industry experts from Davenport & Company LLC, Oyster Consulting and InvestorCOM [...] Read More

SEC Guidance on Reasonably Available Alternatives

Events

On-demand Webinar  >>   The SEC recently published guidance for advisors and broker-dealers on meeting their care obligations when making recommendations to retail investors. In what was part three of a series of recent guidance relating to account-type recommendations and Care Obligation deficiencies, the SEC provided much-needed clarity around the principles of assessing costs and reasonably available [...] Read More

FINRA Annual Conference 2023

Events

Meet InvestorCOM at the FINRA Annual Conference on May 16-18, 2023 in Washington DC. FINRA’s 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 professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and […]

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