COMPLYConnect

Got questions on the SEC's 2025 Exam Priorities? We have answers. Check out our recent blog for critical highlights and insights: https://lnkd.in/gcEq8XNS #SEC #SECexampriorities #COMPLYwithConfidence

Is your compliance program built to handle the modern-day realities of new regulations, disclosures, and enforcement sweeps? Are you able to provide regulators, stakeholders, and leadership with real-time visibility into your compliance program…with ease?  If you answered no, it might be time to reimagine your compliance strategy from a 360-degree vantage point. Join COMPLY's David Bliss and Oron G. A. as they sit down to discuss how COMPLY Program Management can help you orchestrate a comprehensive, scalable compliance program for 2025 and beyond. Save your seat: https://lnkd.in/d--rA3Jc #COMPLYwithConfidence #COMPLY

Attending the 2024 National Society of Compliance Professionals National Conference? Stop by Booth 25&26 to say hi to COMPLY team members Sarah Price, John Beck, M.B.A., and Kim Michalczyk! Plus, hear from COMPLY's Senior Director – Compliance Advisory John Van Der Wal as he shares his expertise during the "Advisory Fee Billing: Risks and Best Practices" panel later this afternoon. #COMPLYwithConfidence #COMPLYteam

And the winners are... 🥁 🥁 🥁 “This year’s COMPLYConnect award winners are not just leading the way among their peers; they are at the forefront of compliance for the entire financial services industry,” said Michael J. Stanton, COMPLY Chief Executive Officer. “We received a record number of exceptional submissions this year, underscoring the strides compliance professionals are making in leading their firms through incredibly challenging and volatile regulatory change. This is an achievement all award nominees and winners should be proud of.” A big congratulations to all the winners and finalists: https://lnkd.in/eTt5jwCm #COMPLYConnect #CC24 #COMPLYwithConfidence

COMPLYConnect 2024 left us with our hearts and minds full! We really enjoyed connecting with our industry professionals to congregate around all things compliance. Being a CCO is not an easy job and finding support in our compliance community is something special. A few comments I noted this week I hope you will enjoy: 💪 Being an empowered CCO is rare and the more we can work toward creating buy-in at all levels of a firm, the more successful the firm will be. 💵 Every dollar spent on compliance supports profit over loss. 🚧🔨 Build a culture around a competitive compliance program that will pay dividends down the road. 🤝 Find your friends in regulators. They want to see your success and support you and your firm. We are happy to support our friends in compliance and we look forward to seeing everyone next year!

And that's a wrap on the 2024 COMPLYConnect Conference & Expo! A big thank you to everyone who made this event possible, including our speakers, sponsors, COMPLY staff, and of course, the attendees. See you next year!

The last few days have been a whirlwind of thought-provoking sessions, workshops, and strategic discussions! A big thank you to all of our speakers who have shared their insights, perspectives, and best practices with the COMPLYConnect audience. While tomorrow might be the final day of the conference, we still have quite a few major league speakers on the docket, leading critical conversations on topics like: ✔️ Performance Advertising: Hypothetical Performance and GIPS ✔️ Reg Best Interest, DOL Fiduciary Rule, & the Impact of the SEC Risk Alert ✔️ Branch Office and Remote Location Supervision for Investment Advisers and Broker-Dealers #COMPLYConnect #COMPLYwithConfidence

COMPLYConnect 2024 has begun! And if yesterday's pre-conference sessions were any indication, this year's event is already the best yet! COMPLY's Michael J. Stanton and John Gebauer kicked off a jam-packed agenda for Day 1, with sessions including: ▶️ Investment Adviser Marketing Rule - Best Practices To Meet SEC Expectations ▶️ Generative AI: Embracing Innovation While Mitigating Risk ▶️ Recent Trends in Enforcement Proceedings #COMPLYConnect

📣 📣 📣 The 2024 COMPLYConnect Award Finalists have officially been announced! “The talent and expertise highlighted in the hundreds of nominations received underscores the critical and growing role compliance professionals play in safeguarding financial services organizations. We are thrilled to honor all nominees as well as these finalists and look forward to announcing the winners at COMPLYConnect,” said Michael J. Stanton, COMPLY Chief Executive Officer. A big congratulations to all the finalists! https://lnkd.in/eT6dEqJ7

From crypto to AI, custody to performance advertising, private fund compliance to UK compliance considerations...the COMPLYConnect 2024 Agenda covers it all. And our experts can't wait to share their insights and best practices with attendees! Comment below to share your must-attend sessions for this year's conference. ⬇️ Check out the full agenda: https://lnkd.in/ezkiKiuh #COMPLYConnect #AI #COMPLYwithConfidence #crypto