COMPLYConnect Conference & Expo

Get a front row seat to the latest news and trends shaping compliance, risk and governance. Join hundreds of your fellow compliance professionals at the premier compliance conference since 1986. COMPLYConnect, formerly known as the NRS Fall Conference, brings together industry leaders and professionals to provide key insight into the evolution of regulatory compliance in today’s landscape.

Registration is open now for COMPLYConnect 2024!

COMPLYConnect Conference & Expo

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Hear from Industry-Leading Speakers

Earn IACCP®, CFP®, CLE, and CPE Credits

The COMPLYConnect conference is designed to meet criteria for continuing education credits for compliance professionals, CPAs/accountants, attorneys and other professionals. Attendees can earn IACCP®, CFP®, CLE, and CPE credits at COMPLYConnect 2024, all while learning about the topics most relevant to the compliance challenges they face on a day-to-day basis. Earn credits. Gain insight. At COMPLYConnect.

Connect and Collaborate

Take advantage of networking opportunities with industry peers from around the country. Share insights and best practices with fellow compliance professionals from investment management firms, private equity firms, RIAs, broker-dealers, and more. Join us for roundtable discussions and interactive sessions designed to bring the industry together to learn from one another and share best practices for navigating compliance complexities.

COMPLYConnect Awards

Know a Chief Compliance Officer worthy of recognition? Think a new compliance peer is a future industry star? At COMPLYConnect, we honor those in our industry who have broken barriers and driven innovation to achieve new heights. Nominate a colleague or yourself for Compliance Officer of the Year, Compliance Innovator of the Year, Compliance Provider of the Year, Compliance Educator of the Year, or Future Compliance Star of the Year.

Why COMPLY?

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DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

DATA INTEROPERABILITY AND APIs

Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.

EDUCATION

Decades of regulatory expertise power COMPLY’s premier compliance education programs. With courses designed for CCOs, IARs, and more, COMPLY empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.

SOLUTION AND SERVICE INNOVATION

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.

REGULATORY EXPERTISE

The COMPLY team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.

AWARD-WINNING CUSTOMER SERVICE

Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.

Who We Serve

COMPLY Product Suite

COMPLY for Businesses

COMPLYConnect 2025, Miami, FL

Join Us: October 14 – 17

Compliance

New Registration

Education / CRE

3rd-Party Compliance

Resources

Company

COMPLYConnect Conference & Expo

Registration is open now for COMPLYConnect 2024!