Tel:   281-367-0380

Providing insight and direction!

Don't Miss Out!

Conferences, Seminars, & Other industry Events 

ADISA Spring Symposium

04/06-08/2020:  Orlando, Florida                

Designed for all industry professionals who sponsor, analyze, market, distribute or recommend alternative investments, ADISA's Spring Conference will feature key industry experts, educational panels and topical presentations. Find out more here!

FINRA Annual Conference

05/12-14/2020: Washington, DC

 FINRA's premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more. Find out more here!

ADISA Annual Conference

10/12-14/2020  Las Vegas, Nevada

Designed for all industry professionals who sponsor, analyze, market, distribute or sell alternative investments. Several educational sessions will be available, many of which qualify for Continuing Education credit. Find out more here!

BasisCode Compliance Consortium

11/02-03/2020: St. Pete Beach, Florida

The BasisCode Consortium offers a unique opportunity for you to attend a hands-on forum that brings together industry leaders in compliance consulting and technology. Unlike other conferences, this will be an interactive and practical learning experience in a small, more intimate setting with a focus on hands-on training and information exchange. The conference sessions will consist of timely topics covering best practices in managing compliance programs and the application of these best practices within the most comprehensive compliance technology led by BasisCode Find out more here!  

FINRA Small Firm Conference

11/11-12/2020:  Santa Monica, California

The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff. Find out more here!

Regulation BI: What's You Need To Know. 

3/26/2020:  Houston, Texas

This event is presented jointly by MGL Consulting, LLC and Jones Day. Planelists will include speakers from MGL Consulting, Jones Day and others to discuss Regulation BI, how to prepare and what to expect when the regulation becomes effective on June 30, 2020. Stay tuned for more information!

Service details

and news information goes here!

regulatory discussions 

and news from within the industry

While we know that not everyone can attend every conference or meeting, it is important to know what is being discussed, what is receiving increased attention and what you should be looking to in the future to ensure your Firm's success. Below is a small snapshot of some current industry topics.     

news

FINRA's top 5 stories from the FINRA 2020 Conference

Read More

June 30, 2020

news

Highlights from FINRA's Reg BI Conference

Read More

January 8, 2020

news

Examination Priorities: Cybersecurity and Technology Governance

Read More

February 20, 2020

Top