Financial advisors are navigating increasingly complex waters when it comes to regulatory compliance thanks in large part to the digital revolution that has made compliance issues more numerous and complicated than ever.
Compliance priorities have taken on a broader risk mandate to include ESG, cybersecurity, cloud computing and the potential theft of clients’ digital assets or personal information. And the SEC’s new rule governing advertising and marketing will have a major impact on oversight, recordkeeping and disclosure requirements in the coming year.
Join our panel of experts as they discuss how leaders in compliance are answering the bell when it comes to helping advisors manage risks in this rapidly changing environment.
- Ryan George, CMO, Docupace
- Dan Bernstein, Chief Regulatory Counsel, MarketCounsel
- Mac Bartine, CEO, SmartRIA