Have you heard? COMPLYConnect 2023 is back! This year’s conference will address the rapid pace of change which we have seen in the regulatory landscape, providing attendees with the critical insight necessary to navigate the evolving regulatory requirements placed on broker-dealers, investment advisers, hedge funds, private equity firms and other financial advisory firms.
“Compliance professionals are facing a steeper learning curve than ever before. Based on my own research, more than 30 new regulations proposed by the Securities and Exchange Commission (SEC) since 2022 will likely result in around 6 – 10 new rules adopted this year alone,” said John Gebauer, Chief Regulatory Officer of COMPLY. “Not only do our peers have to manage the heightened risk associated with today’s market, but they are being tasked with adapting at an unprecedented rate to new and amended regulations. At such a time, being able to learn from and network with industry experts, like those speaking at COMPLYConnect, is more important than ever before. We believe this year’s event will enable firms to proactively navigate the path of regulatory compliance into 2024 and beyond.”
COMPLYConnect 2023 FAQs
You’ve got questions and we’ve got answers, check out what you can expect at COMPLYConnect 2023!
1. Where will COMPLYConnect 2023 be held?
This year’s conference will be held at Hyatt Regency Huntington Beach Resort in Huntington Beach, CA! The three day conference will be held November 7 – 9.
2. What can I expect at this year’s conference?
The three-day event will feature Investment Adviser Certified Compliance Professional (IACCP®), CLE, CFP® and CPE continuing education sessions, roundtable discussions and workshops designed for compliance professionals, executive leaders and more. Join over 30 of the industry’s leading experts as they cover the most critical compliance topics in 2023, such as:
- AI/ChatGPT: Embracing Innovation While Mitigating Risk
- SEC Proposed Ruling on Cybersecurity and Client Data Protection
- Branch Supervision in the Age of Mergers & Acquisitions
- Technology and Compliance: Addressing the Highs and Lows of Cryptocurrency in Today’s Market
- Understanding Custody: Practical Examples of SEC’s Findings Relating to Private Funds, Third Party Vendors, etc.
- Investment Adviser Marketing Rule, A Year Later
Have an idea for a session? Submit your suggestions for our three dedicated community-driven sessions.
3. Who will be speaking at COMPLYConnect 2023?
We are currently in the process of bringing together expert speakers and panelists to discuss the most pressing compliance challenges.
Interested in sharing your perspective on the 2023 compliance landscape? Submit to become a speaker at the leading industry conference.
4. When do the COMPLYConnect award nominations open?
Award nominations are now open! Nominate yourself or a peer in one or all of the following categories:
- Compliance Officer of the Year
- Compliance Innovator of the Year
- Compliance Provider of the Year
- Compliance Educator of the Year
- Future Compliance Star of the Year
Nominations are due by September 15 and finalists will be notified by October 6, with winners announced during a COMPLYConnect Awards reception on November 8 at the conference.
5. How much do tickets cost?
Take advantage of early bird pricing to get the best deal on COMPLYConnect 2023 tickets! The early bird discount ends July 31, 2023, after which ticket prices will increase.
Learn more about COMPLYConnect 2023. See you in November!