Guide to Industry Conferences: Compliance, Governance and Regulatory

Chris Latham, Deputy Managing Editor, Wealth Solutions Report

Get The Essentials On The FINRA Annual Conference, ComplyConnect Conference & Expo, MarketCounsel Summit, FSI Forum & Capitol Hill Day And FSI OneVoice

Not sure which of the seemingly endless wealth management industry conferences you should attend this year? That’s why WSR launched our new Guide To Industry Conferences!

We explain when and where the crucial events are scheduled to be held in 2023, along with who attends and why they show up. Our latest entry in the series, on Compliance, Governance and Regulatory, covers the FINRA Annual Conference, the ComplyConnect Conference & Expo, the MarketCounsel Summit as well as the FSI Forum & Capitol Hill Day and FSI OneVoice.

FINRA Annual Conference

The Financial Industry Regulatory Authority, the government-authorized not-for-profit organization that oversees U.S. broker-dealers, hosts its 2023 FINRA Annual Conference from May 16 to May 18 in Washington, D.C. It gathers more than 1,000 financial advisors, wealth management firm executives, regulators and other industry leaders from across the country to discuss compliance and regulatory developments in technology, cybersecurity, risk management and more.

Robert Cook, President & CEO, FINRA

Attendees have the opportunity to build relationships with industry experts and peers, connect with FINRA staff members, engage in tailored Q&A discussions focused on specific content as well as meet conference exhibitors offering a range of compliance solutions. Registration currently costs $1,595 for large-firm FINRA members, $495 for small-firm members and $2,195 for non-members. Virtual attendees can pay lower costs to register.

The 2022 exhibitors included Smarsh, Proofpoint, Charles Schwab, Docupace, Mercer and many other providers. Main attractions on this year’s agenda include a keynote address by FINRA President and CEO Robert Cook and a fireside chat with U.S. Securities and Exchange Commission Chair Gary Gensler. Attendees also can sit in on panel sessions about trends and threats in financial crimes, the evolution of branch office inspections, and issues under Regulation Best Interest and Form CRS.

ComplyConnect Conference & Expo

ComplySci, a provider of regulatory technology and compliance for financial services firms, served as the founding sponsor of the inaugural ComplyConnect Conference & Expo, which occurred from November 8 to November 10 last year in Austin, Texas. At the same time, ComplySci, RIA in a Box, National Regulatory Services (NRS) and illumis also formed the unified parent brand COMPLY, integrating its leadership team across the companies.

This year’s event, which is still in the planning phase, will be held from November 6 to November 9 in Huntington Beach, California.

The ComplyConnect Conference & Expo – which expanded on the legacy NRS Fall Compliance Conference – gathered regulatory and compliance professionals, industry leaders and technology experts to discuss trends, best practices and the impact of SEC and FINRA regulations. Topics encompassed cybersecurity, artificial intelligence, cryptocurrencies, enforcement actions, ESG, private funds, 401(k) and IRA rollovers, anti-money laundering, custody and more.

Among last year’s featured speakers were SEC Director of the Division of Examinations Richard Best, retired U.S. Navy Admiral William McRaven, EP Wealth Advisors Chief Compliance Officer Mario Chilin, PGIM Fixed Income Chief Compliance Officer Matt Fitzgerald and approximately 40 other experts. Beyond COMPLY, additional sponsors included Smarsh, Broadridge, Schwab, Envestnet and The Travelers Indemnity Company.

MarketCounsel Summit

MarketCounsel, a prominent business and regulatory compliance consultancy for independent advisors, traditionally hosts its annual invitation-only MarketCounsel Summit in Las Vegas in December. MarketCounsel Founder, President and CEO Brian Hamburger is seemingly everywhere at the Summit – including, according to photos on the event’s website, hanging out with former keynote speaker and NBA legend Magic Johnson. A central draw of the Summit is its insistence that event sponsors yield no influence over the curriculum.

Brian Hamburger, President & CEO, MarketCounsel

The Summit, which is in its 15th year, is known for providing insights that enable attendees to understand critical developments affecting RIAs, evaluate growth opportunities, distinguish potential upcoming industry hazards, hear controversial perspectives on key business issues and network among wealth management leaders. Past attendees include DeVoe & Company CEO David DeVoe, Riskalyze CEO Aaron Klein, Edelman Financial Engines Founder Ric Edelman, and Dynasty Financial Partners President and CEO Shirl Penney.

At last year’s Summit, panel sessions addressed topics ranging from whether rising interest rates would hinder M&A deals to how RIAs have started emulating broker-dealers with noncompetes. Among the headline-grabbers that came out of the 2022 Summit was a statement by Jeremy Eisenstein, Co-Head RIA Custody Sales at Goldman Sachs, who asserted onstage that Goldman custodied more than $1 trillion of private wealth by appealing to wirehouse breakaways.

FSI Forum & Capitol Hill Day / FSI OneVoice

The Financial Services Institute, a national advocacy organization for independent financial advisors and independent financial services firms, has two important events coming up within the next 10 months. Its FSI Forum & Capitol Hill Day will be held from September 18 to September 20 in Washington, D.C. Then its annual FSI OneVoice conference will be held from January 29 to January 31, 2024, in Orlando.

FSI Forum & Capitol Hill Day enables FSI members to learn about the latest legislative and regulatory issues facing the industry and participate as citizen advocates, sharing perspectives with key lawmakers. Agenda topics include advancing women in leadership, succession planning, practice acquisitions, technology, behavioral finance, ESG funds and the SEC Marketing Rule. Registration costs range from $499 for speakers to $2,500 for non-members.

FSI OneVoice is the organization’s largest annual gathering. Last year’s speakers included a panel with Cambridge Investment Research CEO Amy Webber, Cetera Advisor Networks President Tim Stinson, Atria Wealth Solutions CEO & Founding Partner Doug Ketterer and FSI President and CEO Dale Brown. WSR CEO Larry Roth also spoke on an M&A panel with ECHELON Partners CEO and Managing Partner Dan Seivert, Beacon Pointe Advisors CEO Shannon Eusey and Fidelity Vice President of Practice Management Laura Delaney.

Chris Latham, Deputy Managing Editor at Wealth Solutions Report, can be reached at


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