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At Ascent, our team stays on top of the latest developments in regulatory compliance by attending and participating in important industry conferences throughout the year, where we both exhibit and help to shape thought leadership and content.

Below is our ultimate list of compliance conferences.

Know of a great event that’s missing? Drop us a line at sales@ascentregtech.com and we’ll add it to the list!

*Updated June 2019

 

General Compliance

Finovate (Various locations, year-round) | A series of global conferences highlighting the future of FinTech solutions through short-form demos of new products and discussions with industry thought-leaders.

COMPLY 2019 (New York, Spring) | 400+ regulators, compliance and risk professionals, sales and marketing leaders, innovators, investors, and legal experts attend to share ideas at the intersection of compliance and technology. Billed as a combination of “information, entertainment, and fun.”

Global RegTech Summit (London, Spring) | 1,000+ delegates from the world of financial compliance meet to discuss tech solutions addressing global financial regulations. Topics covered include AML and anti-corruption compliance, cybersecurity, and finding the right RegTech partner to help firms meet the demands of constant regulatory change. Leading RegTech intelligence platform RegTech Analyst also has a major presence at this event.

Compliance Week 2019 (Washington, D.C., Spring) | 500+ compliance leaders from across various industries (not just finance) attend. Features interactive sessions discussing strategies and best practices for running a dynamic and effective ethics and compliance program.

ACA Compliance Group’s Compliance and Performance Conference (Miami, Florida, Spring)300+ senior compliance, technology, finance, and operations professionals from financial services firms attend. Topics covered will include regulatory compliance, cybersecurity, performance, technology, and anti-money laundering programs, to name a few.

Fearless in FinTech West (San Francisco, California, Summer) | A smaller, more intimate event that draws ~120 attendees to focus on issues of diversity and women in leadership in finance. The sessions offer attendees practical tools and insights into advancing inclusive leadership.

National Society of Compliance Professionals (NSCP) National Conference (Varies, Fall) | 800+ compliance professionals attend, featuring regulatory panels with speakers from SEC, FINRA, MSRB, NFA, and NASAA, continuing education courses, and more than 60 break-out sessions for specialized discussion and networking.

Society for Corporate Compliance & Ethics (SCCE) Annual Compliance & Ethics Institute (National Harbor, Maryland, Fall) | 1,400+ compliance and ethics professionals gather for this cross-industry education and networking event. Attendees explore real-world compliance issues, practical applications, emerging trends, and state-of-the-art techniques for managing corporate compliance and ethics programs.

Global Financial Leadership Conference (Location TBD, Fall) | Global financial, economic, and geopolitical leaders gather for three days of discussion and innovation. The 2019 event in Naples, Florida, featured keynote addresses by former Presidents George W. Bush and William J. Clinton, former U.K. Prime Minister David Cameron, Citadel Founder and CEO Kenneth C. Griffin, and former Fed Chair Janet Yellen, among other highly-distinguished guests and speakers.

Asset and Wealth Management

Global WealthTech Summit (London, Fall) | 600+ wealth management and innovation leaders gather to discuss the future of wealth management and private banking with a focus on overcoming regulatory challenges with innovative technologies and approaches.

TSAM Regulations & Compliance (London, Fall) | 200+ senior Regulations and Compliance professionals meet for thought leadership from the world’s leading asset management firms, to network, and to explore technology solutions.

Anti-Money Laundering/Anti-Corruption

ACES Compliance Summit (Washington, D.C., Spring) | 500+ senior compliance executives attend to discuss anti-bribery/anti-corruption and export controls/sanctions. Sessions aim to give attendees practical strategies and cutting-edge insight on building a domestic or international compliance program within their enterprise.

ACAMS 18th Annual AML & Financial Crime Conference (Las Vegas, Nevada, Fall) | 1,500+ anti-financial crime professionals, regulators, law enforcement investigators and government officials attend, with a principal focus on discussing new developments in financial crime, payment methods and money laundering schemes, and the ways to prevent them.

 

Bank-focused

American Bankers Association Regulatory Compliance Conference (New Orleans, Louisiana, Summer) | 2,000+ attendees, including compliance officers and executives, legal counsel, auditors, regulatory officials, and bank senior managers attend. Sessions drill down on constructing bank compliance programs that can “evolve and adapt to current and future regulatory expectations.”

Bank Director Audit & Risk (Chicago, Summer) | 300+ bank executives and heads of innovation attend to discuss the governance, risk, compliance and accounting issues challenging financial institutions today.

 

Derivatives

FIA Law and Compliance Division Conference (Washington, D.C., Spring) | 900+ attendees, including legal, risk, and compliance professionals, meet to discuss and debate regulation of future, derivatives, and OTC products.

Chicago-Kent School of Law Annual Conference on Futures and Derivatives (Chicago, Illinois, Fall) In 2018, this conference tackled issues relating to rapid technological change in the futures and derivatives industry, gender discrimination and sexual harassment, and updates from the NFA and CFTC.

FIA Boca 2019 – Annual International Futures Industry Conference (Boca Raton, Florida, Winter) 1,100+ senior-level executives from brokerage firms, asset management firms, international exchanges and regulatory bodies attend. The 2019 conference featured talks by CFSC Chairman J. Christopher Giancarlo and Secretary of Agriculture Sonny Perdue, among other notables. 

ADM Investor Services Introducing Brokers Conference (“ADMIS”) (Chicago, IL, Winter) |  200 introducing brokers gather to address strategies for navigating emerging industry risks. Topics in 2019 included managing cybersecurity risks, adapting to a permanently volatile market environment, and emergency planning for compliance crises.

 

Securities

SIFMA C&L Annual Seminar (Phoenix, Arizona, Spring) 2,000+ senior in-house and law firm attorneys who attend make up the “who’s who” of securities compliance. Billed as “the premier event for compliance and legal professionals working in the financial services industry.” 

FINRA Annual Conference (Washington, D.C., Spring) | 1,400+ compliance professionals, attorneys and other leaders in the securities industry attend FINRA’s flagship annual event. Participants meet, network, and discuss today’s most timely compliance and regulatory topics, with 2019 focusing on current trends in technology, cybersecurity, and risk management.

Structured Finance Industry Group (SFIG) Vegas 2019 (Las Vegas, Nevada, Winter) | 7,000+ attendees gather for the “largest capital markets conference in the world,” which draws thought leaders and market participants from across the broad spectrum of the structured finance industry.

 

RegTech & FinTech

LendIt FinTech USA (San Francisco, CA, Spring)5,000+ attendees gather to discuss the advances in FinTech across the range of applications, from AI to blockchain to digital banking and more.

FinTech & RegTech Global Supervisory Summit (London, Spring) Billed as “a unique platform where the global community of the senior official sector representatives with an active interest in FinTech, RegTech and SupTech can come together and share views and experiences in a confidential environment.” Programs focus on the gamut of regulatory issues being tackled by the RegTech/FinTech/SupTech ecosystem.

FinTech & RegTech Global Summit (Singapore, Fall)Content-led practical sessions on FinTech, RegTech, and SupTech, cybersecurity, AML, financial inclusion, cryptocurrency, and other tech-related topics.

RegTech Talents (London, Fall) | 200+ founders, buyers, industry experts, and innovators gather for meaningful dialogue aimed at improving RegTech implementation. RegTech Associates — an organization that seeks to bring RegTech stakeholders closer together — is a strategic partner.

RegTech Expo (London, Fall) For professionals within the industry to engage, do business and learn from technology companies involved in: regulatory reporting, risk management, identity management and control, compliance, transaction monitoring, AML, KYC, GDPR, and Data Governance.

RegTech Summit (London & NYC, Fall)This meeting “explores how the financial services industry can leverage technology to drive innovation, cut costs and support regulatory change,” bringing together vendors, compliance professionals, and regulators to discuss approaches to building a better regulatory environment.

RegTech Enable (Washington, D.C., Fall) | 200-300 attendees including RegTech innovators, regulators, and industry professionals focus on emerging solutions to regulatory challenges.

RegTECHTalents (London, Fall) | 200+ attendees gather at this global forum focused on creating a meaningful dialogue to improve the implementation of regulatory technologies. Join founders, buyers, industry experts, innovators, and students as they turn talk into action.

Sibos (London, Fall) | 8,000+ top-level decision makers and key topic experts from financial institutions, market infrastructures, multinational corporations, software vendors and fintech partners gather to explore the impact of new technologies on infrastructures, value propositions and business models and identify the culture, skills and working practices that organisations need to maximise the potential of both human and machine capabilities.

RegTech Rising (Location TBD, Winter) | A gathering of European RegTech vendors, investors, compliance professionals, and regulators highlighting innovations in the RegTech space.

ACCELERATERegTech (Sydney, Australia, Winter) | More than 300 RegTech industry stakeholders, including solutions providers, regulators, investors, and regulated entities gather to examine emerging and important regulatory challenges.

 

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