Compliance oversight of the financial services industry continues to experience transformations at the speed of business, accelerated by dynamic technological advancements and shifting regulatory priorities. While staying abreast of cornerstone compliance topics such as annual reviews, personal trading and portfolio management is always challenging, compliance teams are now also tasked with learning about subjects including cybersecurity, ICOs, AI, cryptocurrency and blockchain, and their regulatory implications.
At Ascendant’s fall conference in San Diego, we’ll help compliance professionals understand the implications of these new areas to programs, explore innovative ways to look at foundational compliance topics, and deconstruct developing regulations and initiatives such as fiduciary standards, implications of European regulations on U.S.-registered advisers, and marketing in a digital world.
The event will bring together top regulators and industry experts to discuss today’s compliance challenges for investment advisers, registered investment companies and private funds. From the impact of new and developing regulatory initiatives to effective utilization of compliance tools to managing people, processes and technology, join us to crack the code for developing powerful compliance programs.
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