ComplyConnect Conference & Expo: A Compliance Conference you need to attend


Education, training and industry insight come together at the ComplyConnect Conference & Expo. Take a front row seat to the latest news and trends that are shaping financial compliance, risk and governance. At the upcoming conference, you’ll have the opportunity to hear directly from renowned industry leaders and regulatory authorities as they discuss topics like investment adviser compliance, the new SEC marketing rules, ever-evolving regulations, how your firm can adapt to these changes and more.

This conference is a culmination of efforts, bringing together the regulatory compliance industry in Austin, Texas, this November. Whether you’re a chief compliance officer looking to get insight into industry trends, a compliance professional who needs additional educational credits or a firm looking to explore compliance technology options, this event has something for you.

Everything you need to know about the ComplyConnect compliance conference

Here are a few things that make the ComplyConnect Conference & Expo different from any other financial compliance conference…and why you won’t want to miss it.

1.What makes this conference different from other compliance conferences?

The ComplyConnect Conference & Expo is a unique opportunity to connect with industry peers, leaders in regulatory compliance and expert vendors to discuss and debate the compliance challenges we all face. This event offers an opportunity for you to hear from experts in the compliance industry and access the resources and support you need to mitigate risk and remain in compliance today and tomorrow.

2. What happened to the NRS Fall Compliance Conference?

At NRS, we have a legacy of best-in-class education and expertise within the compliance industry. With the introduction of the ComplyConnect Conference & Expo, we are expanding on that legacy to bring our audience even more. This conference offers chief compliance officers and their teams to connect and engage in discussion about the changes, challenges, and trends in compliance. We are joining forces with ComplySci, RIA in a Box, ITEGRIA, and illumis to launch this conference, and we couldn’t be more excited to be a part of this as a founding sponsor.

3. What can I expect in Austin?

The conference officially kicks off on the morning of Nov. 8 and runs until the afternoon of Nov. 10. During this three-day conference, you can expect to take part in:

  • Investment Adviser Certified Compliance Professional (IACCP®) accredited educational sessions designed specifically for compliance professionals, executive leaders and more.
  • Discussions led by industry regulators and compliance experts regarding the challenges and risks being faced in today’s regulatory landscape.
  • Roundtable topics and workshops that let you dig into the nitty-gritty with a select group of your peers.
  • Active compliance analysis exploration with experts to ensure you are prepared for tomorrow’s challenges.
  • Exhibitors from top compliance resources, providing you with insight into how their solution can help your program continue to mitigate risk.
  • Networking opportunities with industry peers from around the country.

Plus:  Three days isn’t enough for you? Join us at the pre-conference on November 7.

4. Who should attend the ComplyConnect Conference and Expo?

This event has been designed to serve a breadth of compliance professionals, including chief compliance officers, compliance specialists, executives and any other professional serving in a compliance role within a financial organization. The education and technology tracks include sessions for investment advisers, broker-dealers, dual registrants, hedge funds and any other firm subject to Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) regulations.

5. What’s on the agenda?

The agenda is packed with sessions designed to provide attendees with insight into industry trends, regulatory developments and tactical advice to meet new compliance challenges. Sessions include topics such as:

  • Perspectives from compliance regulators.
  • Living with the new investment adviser marketing rule.
  • Regulatory examination overviews or insights.
  • Cryptocurrency trends.
  • SEC proposed rule: cybersecurity.

And guess what? Registration is open! Visit complyconnectexpo.com to learn more and register today!