RIA Compliance and Practice Management Blog

RIA in a Box Announces the Inaugural ComplyConnect Conference and Expo

Posted by RIA in a Box

Aug 17, 2022 11:33:40 AM

RIA Compliance Conference (4)

RIA in a Box is thrilled to announce we are a founding partner of the upcoming inaugural ComplyConnect Conference and Expo on Nov. 8-10, in Austin, TX. This educational networking event is designed for compliance professionals in the financial services industry. 

Compliance professionals, including chief compliance officers (CCOs) and registered investment adviser (RIA) firm owners, will have the unique opportunity to connect with industry peers, leaders in regulatory compliance and expert vendors to discuss the compliance challenges we all face in today's ever-evolving regulatory landscape.

Learn More About ComplyConnect

The ComplyConnect Conference & Expo is co-sponsored by ComplySci’s family of firms – NRS, RIA in a Box, illumis and ITEGRIA. The conference provides three days of information-packed sessions, keynotes and networking opportunities.

The event will feature an expanded version of the legacy NRS Compliance Conference and offer Investment Adviser Certified Compliance Professional (IACCP®), continuing legal education (CLE), continuing professional education (CPE) and certified financial planner (CFP) continuing education credits. It will also include a technology track, as well as invitation-only executive and customer summit options.

Pre-conference workshops, including an introductory course for professionals new to the compliance industry and a women in compliance roundtable, will also be offered on Nov. 7.

The conference will also feature the first annual ComplyConnect Awards, recognizing compliance innovators and leaders who have helped change the industry this year. You can nominate one of your peers here.

As compliance technology and consulting service providers for RIAs, we recognize the importance of professional education and enhancing one's knowledge of current regulations, products and policies. 

Each year, we provide a running list of the most valuable conferences for RIAs to plan for in the upcoming year. Stay tuned in December, as we will share our blog post on upcoming conferences in 2023. 

Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.

RIA Compliance & Practice Management

Stay up to date on the latest RIA compliance, operations, and technology topics.

Hear from industry experts as they keep you up to date on the latest regulatory developments and practice management topics.

Subscribe to Email Updates

Recent Posts