Guide To Industry Conferences: Compliance, Governance And Regulatory

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

If you are still not sure which of the many wealth management industry conferences you should attend this year, that is precisely why WSR launched a Guide To Industry Conference series in which we explain when and where the crucial events are scheduled to be held. We also point out who attends each conference and why.

This latest entry in the series covers Compliance, Governance and Regulatory conferences for 2024 and early 2025.

Included are 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

Robert Cook, President and CEO, FINRA
Robert Cook, President and CEO, FINRA

The Financial Industry Regulatory Authority, the government-authorized not-for-profit organization that oversees U.S. broker-dealers, hosts its 2024 FINRA Annual Conference from May 14 to 16 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.

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 variety 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.

Main attractions on this year’s agenda include a session on generative AI and large language models (LLMs), as well as a fireside chat with FINRA senior leaders.

Last year there was a keynote address by FINRA President and CEO Robert Cook and a fireside chat with U.S. Securities and Exchange Commission Chair Gary Gensler.

ComplyConnect Conference & Expo

Amy Kadomatsu, CEO, COMPLY
Amy Kadomatsu, CEO, COMPLY

ComplySci, which provides regulatory technology and compliance for financial services firms, was the founding sponsor of the first ComplyConnect Conference & Expo two years ago in Austin, Texas. ComplySci is now one of the family of companies under the COMPLY umbrella.

This year’s event will be held from Oct. 21 to 24 at the Omni Barton Creek Resort & Spa in Austin, Texas. Last year’s conference was in Huntington Beach, California.

The ComplyConnect Conference & Expo – which expanded on the legacy NRS Fall Compliance Conference – gathers regulatory and compliance professionals, industry leaders and technology experts to discuss trends, best practices and the impact of the U.S. Securities and Exchange Commission (SEC) and FINRA regulations.

Last year’s keynote speakers were M. Owen Donley III, Chief Counsel, Office of Investor Education and Advocacy at the SEC, and J. Cindy Eson, Associate Regional Director, Division of Examinations for the SEC’s Los Angeles regional office. Sponsors last year included Broadridge, Charles Schwab and Advyzon.

Early registration, which is available until Sept. 15, costs $1,695. Each of two available pre-conferences costs $295.

MarketCounsel Summit

Brian Hamburger, President & CEO, MarketCounsel Consulting
Brian Hamburger, President & CEO, MarketCounsel, and Chief Counsel, Hamburger Law Firm

MarketCounsel, a prominent business and regulatory compliance consultancy for independent advisors, traditionally hosts its annual invitation-only MarketCounsel Summit in Las Vegas in December.

This year’s Summit will be held Dec. 9 to 12, according to Kitces.com.

The MarketCounsel Summit represents the industry’s “capstone event each year, bringing together the leadership of the country’s preeminent independent investment advisors, their service providers, and both financial and industry media,” Kitces.com says.

“It’s a forum like no other industry conference – a neutral zone of sorts allowing the profession’s leadership to convene and join in the conversation, engaging dialogue and civilized debate, all with the objective of elevating the role of the independent investment advisor. This invite-only event is the last chance of the year to escape the office, assess the landscape, examine the opportunities and threats that lie ahead, and plan to implement.”

According to Kitces.com, attendance will cost $2,500.

MarketCounsel Summit 2023 speakers included Brian Hamburger, the organization’s Founder, President and CEO, who shared key insights gathered from both MarketCounsel and the Hamburger Law Firm, for which he is Chief Counsel. Other speakers included Mark Hurley, CEO of Digital Privacy & Protection, Aaron Klein, Co-Founder of Nitrogen and Jess Polito, Founder & Principal of Turkey Hill Management.

Last year’s topics included, “The Final Chapter: What’s the End Game for PE?”, “Driving ROI In Tech, Integrating Generative AI and Expert Systems,” “Will Advisors Trust Lawyers with Estate Planning?” and “The SEC’s New Stance on Marketing.”

FSI Forum & Capitol Hill Day / FSI OneVoice

Dale Brown, President and CEO, Financial Services Institute
Dale Brown, President and CEO, Financial Services Institute

There are two important events coming up for the Financial Services Institute (FSI), a national advocacy organization for independent financial advisors and financial services firms, in September 2024 and January 2025.

FSI Forum & Capitol Hill Day 2024 will be held Sept. 16 to 18 at Washington Marriott at Metro Center in Washington, D.C. Its last FSI Forum & Capitol Hill Day was held from Sept. 18 to 20 in Washington, D.C. Its FSI OneVoice conference for next year will be held in the Gaylord Texan Resort & Conference Center in Grapevine, Texas, on Jan. 27 to 29, 2025. The prior FSI OneVoice was held from Jan. 29 to 31, 2024, in Orlando.

“FSI Forum & Capitol Hill Day is your opportunity for up-to-date education on the latest legislative and regulatory issues facing independent financial services and face-to-face meetings with key lawmakers,” FSI says on its website about the 2024 event. “The more voices, the greater our impact on critical issues such as protecting advisors’ independence.”

Key speakers at last year’s event included Mark T. Uyeda, Commissioner of the U.S. Securities and Exchange Commission, who talked with Dale Brown, FSI President and CEO, during a general session on the latest SEC developments. Uyeda provided insight on regulatory compliance, investor protection, risk management, market conditions and how technology and innovation may affect the future of advice.

In another general session last year titled “Navigating an Age of Disruption: The Key Trends in Policy & Politics in 2023-24,” Bruce Mehlman, a political and policy expert who is a Partner at Mehlman Consulting, forecasted the political terrain of this election year last year and what it means for financial services.

And Lori Firsdon, Founder & Owner of Forte Organizers, last year discussed organizing and simplifying during last year’s Advancing Women in Leadership Workshop that was sponsored by Fidelity Investments.

Registration costs last year ranged from $499 for speakers to $2,500 for non-members.

FSI OneVoice is the organization’s largest annual gathering, and its annual in-person gathering for independent financial services firm executives.

The conference’s education and networking sessions are designed specifically for CEOs, senior executives, managers and employees of independent financial services firms, FSI says at the OneVoice website.

Noelle Russell, Global AI Solutions Lead at Accenture and Founder and Chief AI Officer at AI Leadership Institute, was the keynote speaker at the OneVoice opening general session this year, “AI in Our Future: Revolution or Evolution.”

This year’s second keynoter was Bruce Mehlman, who gave his predictions for 2024.

Registration fees for the 2024 event, starting Jan. 9, included $1,599 for FSI firm members and $5,000 for non-members.

Jeff Berman, Contributing Editor & Reporter at Wealth Solutions Report, can be reached at jberman@wealthsolutionsreport.com.

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