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Where We’ll Be


So, I think we can all agree that 2020 was been a different kind of year. We’ve missed everyone at the in-person events and hope to see your smiling faces soon. Until then, here are some of the virtual events we’ve had the pleasure of participating in for 2020 and 2021.

2021 Events

BD Operations Online Summit

May 25-26, 2021

The 2nd Annual XCELLR8 BD Operations Online Summit provides an opportunity for Broker/Dealer executives and managers to conveniently watch presentations from subject matter experts showcasing robust technology solutions built to support the back-office operations of Broker/Dealers.  Also hear from industry peers during the BD Executive Panels as they discuss the opportunities and challenges of technology. Don’t miss this opportunity to learn about innovations and best practices that may benefit your firm.

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FINRA Annual Conference | Gold Sponsor

May 18-20, 2021

FINRA’s premier event — This year we are bringing the conference to you. The 2021 FINRA Annual Conference will be held entirely online. This virtual conference provides the opportunity for practitioners, peers and regulators to exchange ideas on timely compliance and regulatory topics.

Nowhere else will you find this unique combination of the highest-caliber speakers discussing issues that matter most for the financial services industry.

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IAdCA Annual Conference

April 22-23, 2021



  • Hear directly from the Department of Insurance from specific states on advertising filing procedures, advertising violations, specific state advertising regulations, and what is expected of companies doing business in those states.
  • Exchange ideas and concerns about meeting legal, compliance and marketing requirements while preserving the “sizzle” in your marketing material.
  • Network with other insurance professionals to gain insight and understanding of insurance advertising issues.

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Investment Adviser Association Logo

Virtual Investment Adviser Compliance Conference

March 3-5, 2021

Our 2021 conference — which took place virtually over three days in March — offered a content-rich agenda covering a wide range of topics that included the new marketing rule; SEC exams; risk management; Department of Labor rules and guidance impacting investment advisory firms; international developments; ESG investing and implementation; ethics; diversity, equity, and inclusion; and much more.

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2020 Events

Investment Adviser Association Logo

Virtual Compliance Workshop

December 2 – 3, 2020 | Virtual Event

This year, the IAA’s Compliance Workshops will take place virtually over two half days, December 2-3, 2020. The workshops offer an excellent opportunity to gain practical insights and up-to-date information on challenging legal and regulatory issues affecting SEC-registered investment advisers. SEC Regional staff, attorneys from nationally recognized law firms, CCOs and in-house counsel, compliance consultants, and IAA legal staff will explore current examination priorities and focus on pressing compliance and implementation issues for investment advisers.

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NSCP | Compliance Professionals | Financial Services | Membership Organization

National Conference – Gold Sponsor

October 19-21, 2020 | Virtual Event

Network and focus on the practical solutions to empower yourself and your compliance program. From discussing best practices for implementing regulatory changes to exploring the benefits of diversity and inclusion, attendees will receive great insight and practical tools to take back to their firms. Whether hearing from expert panels, engaging in hands-on learning in labs, or sharing with other compliance professionals in forums and talk groups, we’re confident you’ll leave the National Conference more prepared for the future.

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RIA Regulatory Priorities & Inspection Deficiencies

October 14, 2020 | Virtual Summit

Join Cathy Vasilev for this informative session teaching IARs about the latest published exam priorities of the SEC and state regulators. In addition, common deficiencies found during exams and how regulators use “sweep” exams to identify emerging compliance issues are also discussed. It is good for 1 hour of CE credit, pending eligibility.

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BD Operations Online Summit

September 29 – 30, 2020 | Virtual Summit

This virtual Summit provides an opportunity for attendees to meet and listen in on analysts, solution partners, and leaders from some of the most innovative organizations in the world. Stephen Pope will be speaking about AI and its place in the financial services industry. Watch the replay below:

Making Marketing & Advertising Review Easy

August 5, 2020 | Virtual Summit

Join Stephen Pope, Alan Halfenger, and Gino Ercolino as they provide a refresher on regulatory guidelines, then talk about ways to improve advertising compliance processes, even during a pandemic. Watch the play below:


RIA Operations Online Summit

June 24 – 25, 2020 | Virtual Summit

This virtual Summit provides an opportunity for attendees to meet and listen in on analysts, solution partners, and leaders from some of the most innovative organizations in the world. Stephen Pope will be speaking about Leveraging Technology to Streamline Compliance. Watch the replay below:


2020 Virtual Conference – Virtual Exhibit Booth

May 12-14, 2020 | Washington, DC

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 professionals a variety of sessions related to current trends in technology, cybersecurity, risk management, and much more


More to come. Stay tuned!

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