agenda

2025 Agenda

Agenda

October 13, 2025 12:30 pm

to
02:30 pm

Pre-Conference Workshop 1: Mastering the Fundamentals

October 13, 2025 03:00 pm

to
05:00 pm

Pre-Conference Workshop 2: Modern COMPLYance Women Roundtable

October 13, 2025 05:00 pm

to
07:00 pm

Main Conference Registration Open

October 13, 2025 05:00 pm

to
07:00 pm

Welcome Reception

October 14, 2025 07:00 am

to
08:30 am

Breakfast / Meet the Exhibitors

October 14, 2025 07:00 am

to
05:30 pm

Registration Open

October 14, 2025 07:00 am

to
05:00 pm

Exhibit Area Open

October 14, 2025 08:30 am

to
08:45 am

Welcome Remarks / Conference Kick-Off

October 14, 2025 08:45 am

to
09:45 am

Keynote Address #1

October 14, 2025 09:45 am

to
10:00 am

Networking Break / Meet the Exhibitors

October 14, 2025 10:00 am

to
11:00 am

General Session - What's Happening in DC Now?

October 14, 2025 11:00 am

to
11:00 am

Room Change Break

October 14, 2025 11:10 am

to
11:10 am

Meet the Exhibitors

October 14, 2025 12:00 pm

to
01:00 pm

Lunch

October 14, 2025 01:00 pm

to
02:30 pm

Cybersecurity for Financial Services Firms

October 14, 2025 01:00 pm

to
02:30 pm

Investment Adviser Marketing Rule

October 14, 2025 02:30 pm

to
02:45 pm

Meet the Exhibitors/Networking Break

October 14, 2025 02:45 pm

to
03:45 pm

Recent Trends in Enforcement Proceedings - Broker Dealers

October 14, 2025 02:45 pm

to
03:45 pm

Recent Trends in Enforcement Proceedings - Private Funds

October 14, 2025 02:45 pm

to
03:45 pm

Recent Trends in Enforcement Proceedings - Investment Advisers

October 14, 2025 03:45 pm

to
04:00 pm

Room Change Break

October 14, 2025 04:00 pm

to
05:00 pm

Interpreting The Future Directions of Private Fund Compliance

October 14, 2025 04:00 pm

to
05:00 pm

Understanding The Spectrum of Custody Considerations

October 14, 2025 04:00 pm

to
05:00 pm

Cryptocurrency and Other Digital Asset Compliance Considerations for Investment Advisers and Private Funds

October 14, 2025 05:00 pm

to
05:30 pm

Meet the Exhibitors

October 14, 2025 05:30 pm

to
07:00 pm

Reception

October 15, 2025 07:00 am

to
08:15 am

IACCP Designee Breakfast

October 15, 2025 07:00 am

to
05:30 pm

Registration Open

October 15, 2025 07:00 am

to
05:00 pm

Exhibit Area Open

October 15, 2025 07:00 am

to
08:30 am

Breakfast - General Attendance / Meet the Exhibitors

October 15, 2025 08:30 am

to
08:45 am

Opening Remarks/Exhibitor Updates

October 15, 2025 08:45 am

to
09:35 am

General Session: The Future of AI and Compliance Keynote Session

October 15, 2025 09:45 am

to
10:45 am

Regulation S-P and Information Security Update

October 15, 2025 09:45 am

to
10:45 am

Community Driven Topic (TBD)

October 15, 2025 09:45 am

to
10:45 am

Generative AI: Embracing Innovation While Mitigating Risk

October 15, 2025 10:45 am

to
11:00 am

Networking Break / Meet the Exhibitors

October 15, 2025 11:00 am

to
12:00 pm

Vendor Due Diligence

October 15, 2025 11:00 am

to
12:00 pm

Branch Office and Remote Location Supervision for Investment Advisers and Broker Dealers

October 15, 2025 11:00 am

to
12:00 pm

Preparing Investment Advisers for the New AML /CFT Rule in 2026

October 15, 2025 01:00 pm

to
03:00 pm

Professional Ethics: Ethical Decision Making [Live/Webinar]

October 15, 2025 01:00 pm

to
02:00 pm

Compliance Strategies for Small Adviser Firms

October 15, 2025 02:00 pm

to
03:00 pm

ERISA

October 15, 2025 03:15 pm

to
04:30 pm

Regulatory Examinations - Private Fund Advisers

October 15, 2025 03:15 pm

to
04:30 pm

Regulatory Examinations - Investment Advisers

October 15, 2025 03:15 pm

to
04:30 pm

Regulatory Examinations - Broker-Dealers

October 15, 2025 04:30 pm

to
05:00 pm

Meet the Exhibitors

October 15, 2025 05:00 pm

to
07:00 pm

Awards Reception

October 16, 2025 07:00 am

to
08:15 am

Breakfast / Meet the Exhibitors

October 16, 2025 07:00 am

to
02:00 pm

Registration Open

October 16, 2025 07:00 am

to
11:30 am

Exhibit Area Open

October 16, 2025 08:15 am

to
08:30 am

Opening Remarks/Game Winners Announced

October 16, 2025 08:30 am

to
09:45 am

Best Practices in Using Technology to Address Conflicts of Interest, Insider Training, and Reporting Obligations

October 16, 2025 08:30 am

to
09:45 am

CCO Liability

October 16, 2025 10:00 am

to
11:00 am

Reg Best Interest, DOL Fiduciary Rule, and SEC Fiduciary Duty

October 16, 2025 10:00 am

to
11:00 am

Traditional and Off-Channel Communication

October 16, 2025 11:00 am

to
11:15 am

Meet the Exhibitors / Networking Break

October 16, 2025 11:15 am

to
01:30 pm

Critical Skills for High-Performance Compliance Professionals (Live/Webinar) [with a 15 minute break to get box lunches]

October 16, 2025 11:15 am

to
12:15 pm

Regulatory Resiliance: Best Practices in Planning for and Managing Changes

October 16, 2025 12:30 pm

to
01:30 pm

Community Driven Session (TBD)

October 16, 2025 01:30 pm

to
02:00 pm

Conference Wrap-Up - Hearing from the Attendees: Practical Applications from CC25

October 13, 2025 12:30 pm

to
02:30 pm

OneCOMPLY Technology Training

October 13, 2025 03:00 pm

to
05:00 pm

OneCOMPLY Technology Training

October 13, 2025 05:00 pm

to
07:00 pm

Main Conference Registration Open

October 13, 2025 05:00 pm

to
07:00 pm

Welcome Reception

October 14, 2025 07:00 am

to
08:30 am

Breakfast / Meet the Exhibitors

October 14, 2025 07:00 am

to
05:30 pm

Registration Open

October 14, 2025 07:00 am

to
05:00 pm

Exhibit Area Open

October 14, 2025 09:45 am

to
10:00 am

Networking Break / Meet the Exhibitors

October 14, 2025 11:00 am

to
11:00 am

Room Change Break

October 14, 2025 11:10 am

to
11:10 am

Meet the Exhibitors

October 14, 2025 12:00 pm

to
01:00 pm

Lunch

October 14, 2025 01:00 pm

to
02:30 pm

COMPLY Technology Keynote: Sharing the OneCOMPLY Vision and Roadmap

October 14, 2025 02:30 pm

to
02:45 pm

Meet the Exhibitors/Networking Break

October 14, 2025 02:45 pm

to
03:45 pm

Customer Success: Call for Speakers

October 14, 2025 03:45 pm

to
04:00 pm

Room Change Break

October 14, 2025 04:00 pm

to
05:00 pm

What Best-in-Class Looks Like: Benchmarking Compliance Maturity

Our CX team will walk you through best-in-class benchmarking and how optimize your investment in the OneCOMPLY platform

October 14, 2025 04:00 pm

to
05:00 pm

The OneCOMPLY Vision in Action: Real-World Use Cases Across the Platform

See how clients are connecting the dots between compliance strategy and operational execution

October 14, 2025 05:00 pm

to
05:30 pm

Meet the Exhibitors

October 14, 2025 05:30 pm

to
07:00 pm

Reception

October 15, 2025 07:00 am

to
08:15 am

IACCP Designee Breakfast

October 15, 2025 07:00 am

to
05:30 pm

Registration Open

October 15, 2025 07:00 am

to
05:00 pm

Exhibit Area Open

October 15, 2025 07:00 am

to
08:30 am

Breakfast - General Attendance / Meet the Exhibitors

October 15, 2025 09:45 am

to
10:45 am

Fireside Chat: The CCO’s Role in Innovation, Oversight, and Strategic Growth

Hear how top compliance officers are balancing regulatory expectations with firm-wide compliance strategies.

October 15, 2025 10:45 am

to
11:00 am

Networking Break / Meet the Exhibitors

October 15, 2025 11:00 am

to
12:00 pm

Broker-Dealer Roundtable: Staying Ahead of FINRA & SEC Oversight

A candid, collaborative discussion about the mounting regulatory pressure on broker-dealers and dually registered firms, and how CCOs are using COMPLY to stay ahead of scrutiny.

October 15, 2025 11:00 am

to
12:00 pm

RIA & Wealth Manager Roundtable: Growing with Confidence in a Complex Regulatory Environment

Learn how RIAs and wealth managers are evolving their compliance programs to keep pace with SEC marketing scrutiny, digital engagement, and expanding service offerings.

October 15, 2025 11:00 am

to
12:00 pm

Private Fund Roundtable: Tackling Form PF, Custody Rule, and AML Pressures

Join fellow CCOs at private funds to share insights on new regulatory challenges and how compliance teams are adapting

October 15, 2025 01:00 pm

to
02:00 pm

Designing for Impact: How to Operationalize Compliance Policies

Compliance programs often struggle with policy execution. This session shares tactical best practices for aligning policy design with implementation.

October 15, 2025 01:00 pm

to
02:00 pm

Customer Success: Call for Speakers

October 15, 2025 01:00 pm

to
02:00 pm

eComms & Archiving: Tackling Off-Channel Risk in 2025

With FINRA and the SEC targeting off-channel communication, get a sneak peek at how COMPLY is helping firms capture and supervise evolving digital channels.

October 15, 2025 02:00 pm

to
03:00 pm

AML for RIAs and Private Funds: Building for 2026 Today

Learn how to implement a robust AML program for RIAs and ERAs ahead of the 2026 rule effective date — and how COMPLY makes it easier.

October 15, 2025 02:00 pm

to
03:00 pm

Spotlight on Employee Risk: Why It’s Time to Centralize Employee Oversight

Walk through the risks, controls, and reporting strategies that matter most for registered reps, IARs, and dual-hatted employees.

October 15, 2025 02:00 pm

to
03:00 pm

Customer Success: Call for Speakers

October 15, 2025 03:15 pm

to
04:30 pm

Customer Success: Call for Speakers

October 15, 2025 04:30 pm

to
05:00 pm

Meet the Exhibitors

October 15, 2025 05:00 pm

to
07:00 pm

Awards Reception

October 16, 2025 07:00 am

to
08:15 am

Breakfast / Meet the Exhibitors

October 16, 2025 07:00 am

to
02:00 pm

Registration Open

October 16, 2025 07:00 am

to
11:30 am

Exhibit Area Open

October 16, 2025 08:15 am

to
08:30 am

Opening Remarks/Game Winners Announced

October 16, 2025 08:30 am

to
09:45 am

Generative AI for Compliance: 2025 Preview

Explore the roadmap for AI within COMPLY — from intelligent policy recommendations to predictive compliance alerts.

October 16, 2025 10:00 am

to
11:00 am

Creating a Culture of Compliance -- Bringing What you Learned Back to Your Firm

October 16, 2025 11:00 am

to
11:15 am

Meet the Exhibitors / Networking Break