This acclaimed annual event, now in its 23rd year, is regarded by many as the best regulatory compliance conference for the quality of the speakers and practical information conveyed. Recognized regulatory, legal, and industry experts will lead discussions regarding new regulatory developments and offer practical, real world guidance on establishing and updating compliance policies and procedures. Sessions range from intermediate to advanced and are conveniently organized in separate investment adviser, broker-dealer and general interest tracks. Hot topics and newly emerging areas of compliance requiring extended consideration, are presented in pre- conference workshops. This conference offers CPE, CFP and CLE credits.
