What's Changing in Wealth Management Compliance in 2026?
SEC enforcement priorities, FINRA's modernization agenda, and what AI governance requirements mean for your compliance stack. Three practitioners, one 40-minute conversation.
Upcoming sessions
AI Compliance for RIAs: What CCOs Must Know in 2026
The specific AI governance requirements regulators are looking for, the documentation CCOs must have in place, and where most RIAs are currently falling short.
Generating Yield From Equity You Already Own
How advisors are using covered call strategies and income overlays on existing equity positions to generate yield without changing the underlying portfolio allocation.
100% Communication Monitoring: Why 5% Is No Longer Defensible
Regulators have made clear that sampling is not a supervision strategy. This session covers what 100% monitoring looks like in practice and how to implement it without disrupting operations.
Tax-Protected Yield: How NNN Leases Work for Your Clients
The structure, tax treatment, and suitability criteria for triple-net lease investments — and how advisors are positioning them as a durable income source for HNW clients.
AI Tools in Your RIA: How to Stay on the Right Side of the SEC
Which AI tools are attracting SEC scrutiny, what disclosures are required, and how to evaluate any new tool against the current regulatory framework before you deploy it.
What to Do With a Concentrated Stock Position
Tax-efficient strategies for managing concentrated positions — including exchange funds, collars, and charitable vehicles — and how to frame the conversation with clients who are emotionally attached to the stock.
Building a Retirement Income Strategy That Markets Can't Break
How practitioners are constructing income floors, managing sequence-of-returns risk, and communicating income sustainability to clients who lived through 2022.
Growing Your RIA Practice in a Compliant World
Marketing, referrals, and business development strategies that work within SEC marketing rule constraints — and the specific compliance pitfalls that trip up growing firms.
From Wirehouse to RIA: Building a Compliant Firm from Day 1
The compliance infrastructure breakaway advisors must have in place before and immediately after launch — registration, policies, vendor selection, and the first 90-day examination readiness checklist.
Beyond REITs: A Smarter Alternative for Income-Seeking Clients
Why public REITs may not be delivering the income exposure clients think they are, and what private real estate income vehicles offer as a structured alternative for qualified clients.
The 40-minute structure
Introduction
Host frames the session, introduces the platform, and contextualises today's theme and guest credentials.
Thought Leadership
Core educational content — a deep-dive practitioner discussion. No promotional material. No product mentions.
Live Q&A
Audience questions submitted via chat, curated and asked live. The most useful questions get priority.
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Soft brand integration only. "Firms addressing this are exploring…" — no hard sell, ever.
Reserve your free seat
Select a session, complete the form. You'll receive a confirmation with a calendar invite, dial-in details, and a reminder 24 hours before. Can't make it live? The replay is sent automatically.
Past session replays
The SEC's New Enforcement Playbook — What RIAs Miss Until It's Too Late
Former SEC attorney Sarah Chen walks through the exact documentation trail examiners look for in 2026 — and three things RIAs consistently fail to produce.
- →The three documentation gaps that trigger expanded SEC examination scope
- →Why "we use a third-party compliance vendor" is no longer an adequate answer
- →How to build an examination-ready file that examiners close in one day
- →The AI governance question every RIA will face by Q3 2026
SEC Examination Readiness Checklist
2-page PDF summary from Sarah Chen's session — the exact documentation framework covered in the replay.
Full replay library launches June 26, 2026. All registrants receive the recording automatically. Subscribe to the newsletter to be notified when new replays go live.
What's Changing in Wealth Management Compliance in 2026?
AI-Powered Compliance: Building a Supervision Framework That Passes Examination
More replays will be added after each live session. Subscribe to receive each recording automatically.
Share your expertise with 5,000+ RIAs, CCOs, and family office professionals. No charge to speak. No product pitches. Selected on editorial merit only — practitioners, former regulators, and fintech founders.
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