Description:
This meeting will start with dinner on the first night. The general session will begin the following morning and go until 3:00 PM.
The Compliance & Supervision Roundtable meeting is an in-person event designed to promote the sharing of best practices and strategies related to compliance and regulatory concerns surrounding insurance, annuities, and structured products. This meeting provides an interactive forum allowing participants discuss strategies and initiatives regarding program and sales practices as well as changing legal and regulatory requirements.
Attendees include compliance and supervisory executives from RIAs, bank, wirehouse, national, regional and independent broker-dealers as well as other industry experts, including representatives from insurance and investment companies, service providers, marketing organizations and other related firms.
Compliance & Supervision Roundtable
Pricing Details:
$12,000 for two sponsor representatives
Waitlist Option:
If a meeting is SOLD OUT, please select the WAITLIST option under Pricing Options and you will be notified of an opening. There is no charge to be added to the waitlist.
Event Date:
September 15-16, 2026