RIA alert: Navigating changes in SEC regulations

Stay ahead of regulatory changes and ensure your advisory practices remain compliant and resilient in the face of evolving SEC priorities.

We'll discuss how regulatory approaches and enforcement actions are being impacted. For RIAs, understanding these changes is crucial to ensure compliance and to capitalize on new opportunities.

Key areas we'll cover include deregulation initiatives, enforcement focus shifts, increased attention to emerging technologies like crypo and artificial intelligence as well as cybersecurity enforcement.

Speakers:

• Beth Haddock, Head of Compliance, AdvisorEngine

• Suleman Din, Advisor Intelligence Lead, AdvisorEngine