Compliance · Tax & Estate · AI · Practice Growth · Alternatives — 40-minute practitioner sessions with live Q&A and on-demand replays. Free to attend.
What RIAs miss until it’s too late — the exact documentation trail SEC examiners expect and the three things firms consistently fail to produce.
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Our expert panel breaks down exactly what the SEC expects from RIAs right now, how FINRA's modernization initiative changes examination, and what AI governance requirements mean for your compliance stack — before your next exam.
SEC enforcement priorities, FINRA's modernization agenda, and what AI governance requirements mean for your compliance stack. Three practitioners, one 40-minute conversation — no sales pitch, no fluff.
Marketing rule enforcement, AI diligence, off-channel comms, and exam priorities.
Tax planning for HNW clients, alternative investment taxation, estate frameworks.
Supervision frameworks, fintech tools, AI personalization, and risk reduction.
Recruiting advisors, breakaway strategy, M&A, and scaling compliant marketing.
Tax-advantaged structures, fund due diligence, and alternative allocation strategy.
Expert-led discussions on compliance, AI governance, and practice growth — live sessions plus a growing replay library for RIAs and CCOs.
Share your expertise with 5,000+ wealth professionals. No charge to speak. No product pitches. Reviewed on editorial merit only.
68% of our audience are CCOs and RIA principals. Contextual sponsorship — no banner ads, no cold blasts. Editorial integrity, always.
SEC and FINRA requirements for AI governance and supervision are crystallizing fast. Here's what your firm needs in place — and what most are still missing.
$84 trillion is changing hands. The advisors who survive aren't the ones with the best products — they're the ones who built relationships with the next generation.
FINRA's modernization push is more than a rebrand. For broker-dealers, it signals real changes to how examinations are conducted — and where the risk exposure sits.
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