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Who should attend?

Our conference attracts representatives from Broker-Dealers, Investment Advisers, Hedge Funds and Investment Companies.

The following personnel would benefit from attending:

  • Senior Management
  • Compliance Officers and Staff
  • In-House Counsel
  • Operations Managers
  • Trading Personnel
  • Marketing and Research Staff
  • Branch Managers
  • Internal Audit Staff
  • Private Equity Advisers

The 28th Annual Fall Compliance Conference is regarded by many as the industry’s best regulatory compliance event for the quality of the speakers, the practical information conveyed and the ample networking opportunities offered to compliance professionals.

Benefit from:

  • Proximity to regulatory, legal and industry speakers who can assist in those times when you need professional advice
  • Networking opportunities to build relationships with your peers to share and learn throughout the year what others are doing right
  • Sessions relevant to the challenges you face which offer real solutions
  • Opportunities to earn continuing education credits
  • Valuable exposure to “partners in compliance” via select exhibitors highlighting the latest compliance products and services
  • An opportunity to meet with the NRS consultancy team

Some of the companies already registered to attend this event:

  • Advisor Financial Services
  • Advisors Asset Management, Inc.
  • ALPS
  • ARGI Financial Group
  • Chandler Asset Management, Inc.
  • Christopher Weil & Company, Inc
  • City National Bank
  • Clarion Partners, LLC
  • DCAdvisors
  • Deer Park Road Corporation
  • Destination Wealth Management
  • Emerald Advisers, Inc.
  • Ferguson Wellman Capital Management
  • First Allied Advisory Services
  • First Allied Securities, Inc.
  • Focus 1 Associates, LLC
  • Focus Financial Partners
  • Fort Washington Investment Advisors, Inc.
  • Girard Securities
  • Golden Gate Capital
  • GWFS Equities, Inc.
  • Hines Securities
  • Hollencrest
  • Inland Institutional Capital Partners Corporation
  • Integrated Wealth Management
  • Joel Mogy Investment Counsel, Inc.
  • Kalos Financial, Inc.
  • Kirr Marbach & Company LLC
  • LD Lowe Wealth Advisory
  • Lingohr & Partner Asset Management GmbH
  • LMK Wealth Management
  • LPL Financial
  • Mann Mann Jensen Partners LP
  • Marsico Capital Management
  • Mercator Asset Management, L.P.
  • Mid Atlantic Capital Group
  • Mitchell, Vaught and Taylor, Inc.
  • Neumeier Poma Investment Counsel
  • North American Management Corporation
  • OppenheimerFunds
  • Pacific Alternative Asset Management Co.
  • Pacific Income Advisers
  • Pacific Select Distributors
  • Parnassus Investments
  • Paychex Securities Corporation
  • ProCourse Fiduciary Advisors, LLC
  • Quantitive Equity Strategies LLC
  • Radnor Financial Advisors, Inc.
  • Rampart Investment Management Company, LLC
  • Robert Bender & Associates
  • Ronald Blue & Company
  • Scarborough Capital Management Inc
  • Searchlight Management Co.
  • Securian Financial
  • Soundmark Wealth Management
  • Stone Carlie Wealth Advisors, LLC
  • StraightLine Group, LLC
  • Strategic Capital Group
  • Sullivan, Bruyette, Speros & Blayney
  • SunTrust Investment Services
  • Thrivent Financial
  • Towers Watson
  • Trust Advisors Inc
  • Twele Capital Management, Inc.
  • ValMark Securities, Inc.
  • VERIS Wealth Partners
  • WCM Investment Management
  • Wells Fargo Investments
  • Zions Direct Inc.

Exhibiting companies

Bronze Sponsors:
Bronze Sponsors:
Lanyard Sponsor:
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