The financial services industry’s premier regulatory compliance conference comes to Nashville on November 8-11, 2026
NEW YORK, July 08, 2026 (GLOBE NEWSWIRE) — Comply, the leading provider of regulatory compliance software, consulting, and education for financial services firms, today announced the agenda for ComplyConnect 2026, taking place November 8-11, 2026, at the Omni Hotel in Nashville, Tennessee. The annual event brings together hundreds of CCOs, compliance professionals, regulators, and industry practitioners to discuss the issues shaping compliance.
Built on Comply’s long-standing leadership in compliance education – including its IA Core and IACCP® Programs – ComplyConnect 2026 helps compliance leaders sharpen their skillsets and industry knowledge. Attendees will explore topics including AI governance, emerging risks, and enforcement priorities, while also earning eligible continuing education credits.
“CCOs are being asked to make judgment calls in areas where expectations are still taking shape,” said Michael Stanton, CEO of Comply. “ComplyConnect gives them a forum to pressure-test those decisions with regulators, practitioners, and peers who understand the work.”
FEATURED SESSION TOPICS
ComplyConnect 2026 is designed to equip compliance leaders with the latest regulatory insights. Featured session topics include:
- Cybersecurity and Regulation S-P: How compliance and technology teams can work together to prepare for incident response obligations and strengthen information security oversight.
- Regulatory Examinations and Enforcement: Parallel tracks covering recent enforcement trends and exam priorities for investment advisers, broker-dealers, and private funds.
- Artificial Intelligence: Sessions and workshops focused on AI governance, generative AI, and practical compliance applications – including how firms can assess use cases, document controls, and mitigate risk.
- The Marketing Rule in Practice: Real-world implementation insights as firms enter the fourth year of the rule’s compliance date.
- Custody Rule: Common myths, practical considerations, and current obligations for advisers navigating custody-related questions.
- Digital Assets: Cryptocurrency and other digital asset compliance considerations for investment advisers and private funds.
- Branch Office and Remote Location Supervision: Practical strategies for investment advisers and broker-dealers managing distributed teams and supervisory obligations.
- Employee Retirement Income Security Act (ERISA) Compliance: How firms can approach compliance obligations for ERISA-governed plans.
- Vendor Due Diligence: Best practices for investment advisers and broker-dealers overseeing third-party relationships.
- Protecting Vulnerable Clients: Case studies and actionable frameworks to support supervision and help firms meet best interest obligations.
- Succession and Continuity Planning: Tailored guidance for Retail Wealth Advisers and Wealth Managers planning for operational resilience.
- AI in Financial Services Workshop: Understanding the Intersection of AI innovation and Regulatory Compliance
The agenda also includes four preconference training sessions:
- Mastering the Regulatory Fundamentals
- Best Practices in Preparing for Annual Updating Amendment (AUA) Season
- Fee Billing Safeguards
- Turning Resistance into Resources through Effective Communication
Explore the full agenda for session details.
“The depth of this year’s agenda is a direct reflection of what we’re hearing from compliance professionals,” said Jamila Mayfield, Chief Regulatory Services Officer at Comply. “ComplyConnect 2026 is built to provide compliance professionals the opportunity to network with peers, discuss strategies and challenges impacting firms today, and educate practitioners with sessions led by seasoned practitioners, regulators, and Comply consultants who work alongside firms every day. We are thrilled to bring together the leading minds in regulatory compliance.”
Keynote sessions will address the regulatory developments shaping compliance, including what’s happening in Washington, D.C.
CONTINUING EDUCATION CREDITS
ComplyConnect attendees will have the opportunity to earn continuing education credits across multiple designations, including:
- IACCP® CE Credits
- CPE Credits
- California MCLE Credits
- Florida MCLE Credits
- CFP® CE Credits
Join leaders shaping the future of financial services compliance at ComplyConnect 2026.
To register and explore the full agenda, visit www.complyconnectexpo.com.
ABOUT COMPLY
Comply is a global technology and services leader transforming regulatory compliance for financial institutions through AI-enabled software, data intelligence, and expert advisory services. Trusted by more than 5,000 firms, including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers, Comply combines deep regulatory domain expertise with advanced automation, machine learning, and integrated data solutions to deliver a unified platform that streamlines oversight and strengthens governance across the enterprise. With a relentless focus on innovation and client partnership, Comply is building the financial industry’s most intelligent and future-ready compliance ecosystem, helping institutions worldwide turn regulatory complexity into strategic advantage.
A photo accompanying this announcement is available at https://www.globenewswire.com/NewsRoom/AttachmentNg/f1a3f14e-ed88-4e17-a04d-c41dfa91ed5d
CONTACT: MEDIA CONTACT Caroline Nesbit Director of Communications, Comply pr@comply.com
