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Where We’ll Be

 

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

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:

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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.

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More to come for 2021. Stay tuned!

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