July 16, 2026 · 11am EST

What's Changing in Wealth-Management Compliance in 2026?

A 40-minute editorial roundtable for RIAs, CCOs, and family-office leadership. Free to attend.

40-minute formatLive Q&AReplay distributedFree · Reserved
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Session 01 · Inaugural

Education-first. Topic confirmed before broadcast. Replay sent to all registrants.

What you will take away

Four arguments. One conversation.

The opening session frames the regulatory environment for the next twelve months and what wealth-management firms should have documented before the next examination.

01
SEC Marketing Rule: the next wave of enforcement.
Reading the December 2025 Risk Alert: where examiners are now and what repeat findings now route directly to Enforcement.
02
FINRA modernization: what changes for RIAs.
The convergence of FINRA's oversight reach and SEC priorities and where independent RIAs are now exposed.
03
AI governance: supervision before the first deployment.
A documentation framework for advisor AI tools that satisfies the 2026 examination question every CCO is about to face.
04
Off-channel communications: moving from defense to discipline.
Behavioural surveillance, retention infrastructure, and the supervisory posture that turns risk into a competitive moat.
The 40-Minute Format

The Roundtable.

01 · Introduction
5min
Editorial framing of the question and the guests.
02 · Thought Leadership
20–22min
Core practitioner discussion.
03 · Live Q&A
8–10min
Audience questions submitted via chat and curated live.
04 · Sponsor Spotlight
5–8min
Brief overview of a relevant solution or industry resource.
On-Demand Replay Library

The library opens with the Inaugural Roundtable.

First replay publishes August 2026. Reserve a seat to receive it on release.

Register Now →
Who Attends

Built for decision-makers.

A practitioner audience. Not retail investors, not industry tourists. Built for people running firms, shaping policy, and setting direction at any stage of their career.

  • +RIA Founder / Principal
  • +Chief Compliance Officer
  • +Wealth-Management Executive
  • +Family Office Professional
  • +Tax Attorney / CPA
  • +Estate Planning Specialist
  • +Fintech Founder / CTO
  • +Securities Attorney / Former Regulator
Common Questions

Frequently asked.