COMPLY™ Executives, Industry Experts and Regulators Gather for Three Days of Education, Training and Insight from Nov. 7 to 9 in Huntington Beach, California
A COMPLY announcement shared that the company will host its second-annual COMPLYConnect Conference & Awards from Nov. 7 to 9 at the Hyatt Regency Huntington Beach Resort in California. COMPLY is the global market leader of compliance software, consulting and education resources for the financial services sector.
The annual event is one of the largest and most highly acclaimed non-membership events for compliance professionals serving private equity firms, hedge funds, broker-dealers, registered investment advisers and other financial service sector participants, and provides attendees with an opportunity to hear from industry leaders about the trends shaping compliance, regulations and governance. It also presents unparalleled access to the resources necessary to mitigate risk and remain in compliance, along with abundant networking opportunities.
“The dynamic process of managing compliance and risk has never been more complicated or important,” said Amy Kadomatsu, Chief Executive Officer of COMPLY. “We launched the COMPLYConnect Conference & Awards, to expand upon the NRS® Compliance Conferences, which were held from 1986 until 2021, to bring together our over 1,400 IACCP® designees and candidates, as well as leaders from across the financial services industry to engage with peers, industry experts and regulatory authorities. Attendees of this year’s conference will walk away with a better understanding of key regulatory topics, discovering how best to approach the emerging trends that will shape our industries for years to come, as well as the role technology, solutions and services will play in keeping firms ahead of the regulatory curve.”
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 and beyond, 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
For the first time this year, COMPLYConnect will feature three community-driven sessions. Submit a topic to feature on the COMPLYConnect 2023 agenda.
COMPLYConnect 2023 includes numerous opportunities for regulatory and compliance leaders and organizations to connect with the industry:
- Share your expertise with industry colleagues. Submit to speak on a panel or at session.
- Sponsorship opportunities include Lunch Sponsors, Networking Break Sponsors, Presenting Exhibitor Sponsors and more.
“Compliance professionals are facing a steeper learning curve than ever before. Based on my own research, the 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.”
Additionally, COMPLY has opened nominations for the 2023 COMPLYConnect Awards. This process aims to honor outstanding compliance professionals, organizations and programs across the financial services sector. 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.
Registration for COMPLYConnect 2023 is open now. Early bird pricing for tickets ends July 31, 2023. Learn more about COMPLYConnect 2023 at www.complyconnectexpo.com.
About COMPLY
As a global market leader in regulatory compliance solutions, COMPLY combines the power of regulatory technology, services and education to empower Chief Compliance Officers (CCOs) and compliance professionals to easily navigate the regulatory landscape. COMPLY enables firms to scale their growth, while remaining vigilant in their compliance efforts, by providing solutions designed to manage the burden of complex compliance tasks. Our deep bench of industry expertise — which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes from our product portfolio offerings ComplySci, RIA in a Box and NRS — supports more than 7,000 clients, including private equity firms, hedge funds, broker-dealers, registered investment advisers and other financial service sector participants.
COMPLY continually supports clients in their work to proactively address core compliance challenges — minimizing risk, addressing critical priorities and meeting new demands as the industry evolves and the firm scales.
Media Inquiries
Donald Cutler/Lorene Yue
Haven Tower Group
424-317-4850/424-317-4854
dcutler@haventower.com/lyue@haventower.com