As a private equity, hedge fund, broker-dealer or large RIA, you face unique compliance challenges, only compounded by the number of employees (and therefore trades, certifications and attestations) which must be monitored.
However, as the compliance officer leading the proverbial charge, it is up to you to set the standard for compliance among your peers.
And one necessary requirement? A basis of education and knowledge regarding what rules and requirements your firm faces.
As the regulatory bodies continue to propose and adopt new rules at a record pace, your compliance program is up against a steep challenge – simply keeping up.
The answer? By leaning into your resources, compliance professionals can confidently navigate the complexities of the compliance landscape, evolving their program to meet new needs and requirements.
And that’s where COMPLYConnect comes in.
What to expect at COMPLYConnect 2023
COMPLYConnect 2023 was designed to help compliance professionals, like you, better equip themselves with the knowledge necessary to confidently assess the evolving rules and regulations and understand how to best meet any and all new requirements.
In order to do so, we provide:
- Investment Adviser Certified Compliance Professional (IACCP®) educational sessions designed specifically for compliance professionals, executive leaders and more.
- Discussions led by industry regulators and compliance experts regarding the challenges and risks being faced in today’s regulatory landscape.
- Critical analysis of compliance strategies and protocols, ensuring you are prepared for tomorrow’s challenges with insights to mitigate risk.
- Networking opportunities with industry peers from around the country – dig into the nitty-gritty with a group of your peers, discussing key compliance challenges and how to solve for them.
In this year’s agenda, we aim to answer the key questions which we know compliance professionals are asking, covering topical areas which have created new challenges or presented unique requirements for enterprise-level advisory firms. This year’s agenda includes:
- Investment Adviser Marketing Rule, A Year Later
- Recent Trends in Enforcement Proceedings
- Understanding the SEC’s Proposed Rule for Safeguarding Client Assets
- Highs and Lows of Cryptocurrency in Today’s Market
- Mergers, Acquisitions, and Exit Opportunities Considerations
Ready to take part in the premier compliance conference of 2023? Register now!