Blog Article

Learn about the SEC’s proposed cybersecurity rules at the ComplyConnect Conference & Expo

Oct 06, 2022

The ComplyConnect Conference & Expo offers compliance professionals the opportunity to learn about the SEC’s proposed cybersecurity rules and more.

As you may know, RIA in a Box is a founding sponsor of the upcoming ComplyConnect Conference & Expo, along with ComplySci, NRS and illumis. The event takes place at the Omni Barton Creek Resort & Spa in Austin, Texas, on Nov. 8 – 10, 2022. The ComplyConnect Conference & Expo provides a unique opportunity for compliance professionals to learn, connect and engage with peers and industry leaders. In this blog post, we highlight the top reasons to attend the upcoming conference and share what’s on the agenda. Check it out below! 

Each year, we provide compliance professionals and investment advisers with a running list of the top conferences in the financial services industry. The inaugural ComplyConnect Conference & Expo offers the opportunity to:

  1.  Learn from regulatory experts and industry thought leaders. Attendees will hear from keynote speakers, including our own expert compliance consultants. The topics were carefully selected to cover technology, education, and culture for financial services firms.

    Below are a few topics on the agenda:
    • The Securities and Exchange Commission (SEC) Marketing Rule.
    • The proposed cybersecurity rules.
    • Technologies for cybersecurity risk management.
    • Cryptocurrencies and digital assets.
    • Understanding the SEC’s proposed Environmental, Social and Government (ESG) Rule.
    • Perspectives from SEC, Financial Industry Regulatory Authority (FINRA) and The North American Securities Administrators Association (NASAA) regulators.
    • Trends in enforcement proceedings.
    • Regulatory examinations.
    • Vendor due diligence.

    See the full agenda here.

  2.  Earn credits toward industry designations, including Investment Adviser Certified Compliance Professionals (IACCP), Continuing Legal Education (CLE), Continuing Professional Education (CPE) or Certified Financial Planner (CFP) continuing education credits from sessions designed specifically for compliance professionals, executive leaders and more.
  3. Engage with other industry professionals during networking breaks and round-table discussions. Take this opportunity to learn how your peers are taking on compliance and operational challenges. Top industry vendors will also be present to discuss their solutions and services.