Webinar: 20 November, 2025 at 2pm ET

2025 has been a year of compliance recalibration for wealth firms. While the regulatory pipeline has slowed, oversight has intensified. The SEC and FINRA have issued more targeted examinations, enforcement actions, and penalties – signaling that the era of reactive compliance is over.

As firms prepare for 2026, the focus is shifting toward demonstrable compliance: clear documentation, technology-enabled oversight, and an ability to evidence “best interest” at every stage.

Join leaders from the wealth industry as they explore emerging exam priorities, lessons learned from recent actions, and the practical steps firms can take now to stay exam-ready in 2026.

Key Talking Points:

• 2025 Review: Why enforcement actions surged even as new regulations slowed.
• 2026 Outlook: What to expect from the SEC and FINRA’s next examination cycle.
• The Growth Pivot: How the outlook has shifted from a focus on risk avoidance to “Advisor Experience (AX)” – efficiency, trust, and growth.
• Best Practices: How leading firms are modernizing compliance to stay audit-proof.
• Action Plan: Steps to ensure your documentation, disclosures, and decisions align with best-interest standards.

Register Today:

Tom Selman, President and CEO, Scopus Financial Group

With over two decades of regulatory leadership and expertise, Tom Selman served as FINRA’s Executive Vice President for Regulatory Policy and its Legal Compliance Officer. A prolific author, commentator, and expert in financial services regulation, Mr. Selman led many FINRA departments, including FINRA’s Department of Advertising Regulation, Department of Corporate Financing, and Office of Disciplinary Affairs. Mr. Selman holds a CFA charter and is a member of the Board of Directors of the CFA Society Washington D.C.

Ana D. Petrovic, Director – Financial Services Compliance and Regulation, Kroll

Ana D. Petrovic, Esq., is a Director of Kroll’s Financial Services Compliance and Regulation practice. Ana brings over a decade of diverse experience at the U.S. Securities and Exchange Commission (SEC) to servicing her clients on financial services and regulatory matters. Before joining Kroll, Ana served as an Assistant Regional Director in the SEC’s Division of Enforcement. She oversaw teams based in the SEC’s Chicago Regional Office and the Enforcement Division’s Complex Financial Instruments Unit (CFI). During her tenure at the SEC, Ana held various other senior roles, including Counsel to the former Co-Directors of Enforcement, Senior Investigative Counsel, and a Co-Leader of the Pyramid Scheme Taskforce’s Public Outreach Committee. Prior to the SEC, Ana was a litigation associate at major international law firms. Ana is also a Board Member of the Southern California Compliance Group.

Mahtab Foroughi, Compliance Officer, First Manhattan

Mahtab is an accomplished legal and financial services executive with extensive experience in litigation, compliance, and risk management. With an international career spanning over 20 years, she has advised organizations on navigating complex regulatory environments and building robust governance frameworks that align with both business goals and ethical standards. As a former litigator, compliance, and risk officer, Mahtab brings a unique perspective that bridges legal strategy, operational risk, and financial performance. She is as passionate about fostering a culture of accountability and integrity as she is supporting the growth and success of the businesses she supports.

David Kaleda, Partner, Eversheds Sutherland

Parham Nasseri, President, InvestorCOM

Parham Nasseri has spent his career translating complex regulatory requirements into technology solutions that improve investor and advisor outcomes. He has over 15 years of regulatory and wealth management experience, including senior roles in regulatory analytics, digital transformation, and investment analytics.

Parham currently serves as Vice President, Product & Regulatory Strategy at InvestorCOM, a leading software solutions provider for the financial services industry. He serves on several advisory boards including Ontario Securities Commission’s Investor Advisory Panel, CFA Societies’ Canadian Advocacy Council, The Canadian RegTech Association, and Junior Achievements of Central Ontario. He is also the host of the Wealth Compliance Leaders series.